• Compliance and Governance. We advise companies on their obligations under the Securities Exchange Act of 1934, including the preparation and filing of proxy statements, periodic reports and annual reports.
• Corporate Finance. We represent a variety of companies, investors and underwriters in complex debt and equity offerings under the Securities Act of 1933, including public and private offerings, Rule 144A offerings, Regulation S offerings and fund offerings.
• Broker-Dealers. Axley attorneys have substantial experience with respect to broker-dealer compliance issues under federal and state law. We develop compliance and supervisory procedures, conduct reviews to identify potential violations and provide on-going regulatory guidance on sales and trading practices across a wide range of equity and fixed income products. We also advise clients regarding the formation, acquisition and sale of broker-dealer operations.
• Investment Management. Axley attorneys advise a variety of investment firms on federal and state securities laws in connection with the formation, operation, acquisition and sale of investment management businesses. In addition, we provide our clients with assistance in federal and state examinations and on-going regulatory compliance and advice, including under the Investment Advisers Act of 1940. Our attorneys also assist in advising on regulatory matters under the Investment Company Act of 1940.

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