Securities Regulation

Cahill Gambino LLP is a boutique law firm focused on serving the securities industry, with extensive experience representing securities industry participants on both the buy side and the sell side of the market. We assist our industry clients in a successfully navigating the increasingly intricate maze of governmental statutes and regulations and SRO rules.

On the sell side of the industry, C/G has advised Broker-Dealers on all aspects of their business including issues relating to:

• Municipal Securities
• Equity and Fixed-Income Trading
• Equity and Fixed-Income Research
• Investment Banking, including complying with securities regulations and mitigating potential liability in connection with public and private offerings and M&A transactions
• Retail brokerage regulation
• Acquisitions, dispositions and registrations of securities-related entities

On the buy side of the industry, C/G has advised hedge funds and asset managers on the securities law aspects of their business including issues related to:

• Filing Schedules 13G for greater than 5% holdings
• Filing Forms 13F reporting quarterly holdings
• Section 16 insider transaction filings
• Filing of Schedules 13D for activist holdings
• Proxy contests, shareholder proposals and tender offers
• Registered investment advisor regulations

C/G has a wealth of experience applying regulations and working with regulators. C/G can help with compliance manuals, engagement letters, and other standard forms, which can assist your firm in insulating itself from liability.

C/G assists its clients in connection with SEC and FINRA response requests and inquiries. Our goal is a speedy and cost effective resolution that works for your business. C/G has found that good judgment coupled with an immediate hands-on approach at the outset of such a process can be critical in avoiding escalation of action by regulators.