A Rare Depth Of Experience At The Highest Levels Of Business And Finance

Securities Regulation and Compliance

Macaluso LLP advises the full range of capital markets participants regarding U.S. securities regulation and compliance, including:

  • Observance of federal and state laws regulating issuers, advisors, broker-dealers, investment companies, and other market participants
  • Regulatory reporting requirements
  • Ongoing compliance and disclosure obligations
  • Restrictions on public and private offerings
  • Private fund compliance

Our experienced attorneys advise both domestic and international firms regarding the complex securities issues that frequently arise (i) in complex debt and equity capital markets transactions including structured finance transactions of all types; (ii) in connection with private investment funds, including formation, fund administration, and fund investments regardless of whether these are private equity, commodities, or financial assets; and (iii) in connection with innovative business ventures generally.