Securities Lawyer in New York
Trust & Family Business
Private Equity & Venture Capital
BROKER-DEALER & INVESTMENT ADVISER REGULATION
Navigating SEC Examination for a Registered Investment Adviser How we guided a regulated financial services firm through a high-risk regulatory examination while strengthening its long-term compliance framework. Practice Area: Broker-Dealer & Investment Adviser Regulation Jurisdiction: United States Client Type: Registered Investment Adviser (RIA) The Challenge Regulatory and Operational Risks The client was notified of an […]
Investment Management & Investment Funds
Securities Offerings & Capital Markets Transactions
Liquid Staking and U.S. Securities Law: What the August 2025 SEC Guidance Means
On August 5, 2025, the SEC’s Division of Corporation Finance issued a staff statement on liquid staking. In short: when structured in a limited, “receipt-style” way, liquid staking activities and the issuance/trading of the receipt tokens are not, by themselves, offers or sales of “securities” that must be registered—unless the setup involves an investment contract […]
A Deep Dive Into Regulation D and Its Strategic Use For Startups
Regulation D is a critical framework under the U.S. Securities Act of 1933 that allows issuers to raise capital through the sale of securities without registering the offering with the Securities and Exchange Commission (SEC). It does so by providing “safe harbor” exemptions—essentially clearly defined conditions under which an issuer can be confident that its […]
Genius Act: A Turning Point For U.S. Stablecoin Regulation
On June 17, 2025, the U.S. Senate passed the Guiding and Establishing National Innovation for U.S. Stablecoins Act—better known as the GENIUS Act—marking a watershed moment in the legal treatment of digital assets. With strong bipartisan support, the bill lays the foundation for the first comprehensive federal regulatory regime governing the issuance and operation of […]
SEC 2025 Report on Private Capital Markets Ownership Concentration and Access to Funding
On May 28, 2025, the U.S. Securities and Exchange Commission (SEC) released new data and analysis that shine a light on how private markets are evolving—especially in three key areas that affect both investors and companies looking to raise money. The goal of this release was to give the public, regulators, and market participants a […]