Our partners provide clients with:

Registration & Capital Markets Advisory Support

• Offering registration: CM Law partners draft and review registration statements (e.g., Forms S‑1 and S-3, private placement memoranda, and exempt offerings (Reg A, Rule 144A, Regulation S), ensuring accuracy, regulatory compliance, and speed to market, while minimizing underwriting risk.
• Securities Compliance: We counsel clients and prepare filings in connection with ongoing securities compliance, including Forms 10-K, 10-Q, 8-K, proxy solicitation material, and other matters.
• Blue‑sky and exchange listing compliance: We advise clients on NASDAQ, New York Stock Exchange (NYSE), and Blue Sky requirements to produce seamless public listings and continued compliance to avoid disruptions or fines.

SEC & Financial Responsibility (FD) Unit Regulatory Guidance

• Reporting, disclosure, controls: We counsel boards, audit committees, and executives on Sarbanes‑Oxley, Dodd‑Frank, Regulation FD (Fair Disclosure), Forms 3, Forms 4, Forms 144, and insider trading policies to ensure stronger governance and fewer surprise enforcement inquiries.
• Monitoring rulemaking and compliance adaptation: Ongoing regulatory monitoring and implementable compliance roadmaps enable clients to adapt proactively to regulatory changes, reducing enforcement risk and maximizing audit‑readiness.

Regulatory Enforcement & Examination Readiness

• Investigator‑grade preparation: We support clients through Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Public Company Accounting Oversight Board (PCAOB), Commodity Futures Trading Commission (CFTC), and state regulator inspections and investigations, to streamline client responses, mitigate potential penalties, and preserve the organization’s reputation.
• Regulatory experience: CM Law’s Securities Practice partners have significant experience addressing SEC, DOJ, PCAOB, and FINRA matters. Clients benefit from sound strategic insight into the enforcement mindset, often avoiding charges or reaching favorable resolutions.

Broker-Dealer & Investment Adviser Compliance

• Broker-dealer policy and supervisory review: CM Law partners draft compliance manuals, Anti-Money Laundering (AML) policies, trading supervision systems, and registration filings. The result is reduced regulatory exposure, streamlined operations, and minimized compliance costs.
• Adviser regulatory compliance: We support SEC-registered and exempt advisers with fiduciary‑duty compliance, conflict disclosures, and regulatory policy frameworks. This approach to structured compliance can reduce enforcement and reputational risk.

Cross-Border & Emerging Areas (Crypto/Digital Assets)

• Crypto and fintech regulation: By advising on SEC/DIV crisis matters, security-based swap (RULE SBSD), digital asset offerings, and cybersecurity disclosure obligations, clients are better positioned to navigate regulatory changes in fast-moving sectors for improved compliance and risk mitigation.
• Cross-border regulatory strategy: Our regulatory compliance attorneys guide foreign issuers raising capital in U.S. markets, handling dual compliance regimes. We counsel clients on facilitating seamless international capital access and regulatory alignment across jurisdictions.