Securities Compliance

Securities Compliance

Many firms claim to practice in securities law; however, they only work a couple of cases a year or they simply represent publicly traded companies and issuers of private offerings.  Stafford + Associates is a boutique law firm that represents members of the securities industry.

Our clients have clients of their own who rely on them.  Our clients render advice and are trusted with the ultimate responsibility of investing their client's money.  For these clients, full SEC compliance is absolutely imperative.  An enforcement order can ruin their reputation, which is their single most important professional asset.  In addition to loss of reputation, an enforcement order may carry with it a hefty fine, some are in the millions of dollars.  Your reputation is valuable and worth protecting.

SEC Filings and Regulations
The best way to avoid an enforcement action from the SEC is to follow their regulations, including; registration, disclosures and renewals.  Following the SEC and NASD regulations is more difficult than most practitioners realize due to the complex language and character of the regulations.

The SEC and NASD regulations are so complex that many astute people in the securities industry break them without even realizing it.  Unfortunately, some of them are unaware of even a potential violation until they find out the hard way when they get a notice from the SEC.

The SEC continuously reviews the industry and its activities.  The nature of its regulations are very fluid in an effort to reflect the current trends in the industry.  Keeping track of the changes in regulations is very difficult and time consuming.  At present, the SEC is charging and fining people for (among other things): market timing, disclosures, conflicts of interest, mutual fund boards' independence, mutual fund fees and expenses and many other new industry practices.  It is hard to predict what course of action the SEC will take at any point of time.  It is vital to have a knowledgeable ally, and advisor to assist you in compliance.

If you are facing an SEC examination or enforcement matter, we can help you.  However, we would prefer to keep you out of trouble and avoid any involvement by regulatory authorities in the first place.  We can use our 25 years of experience to get you compliant before you receive notice of a violation from the SEC.

In addition, we can serve as your chief compliance officer for all you SEC regulation needs, or we can simply work with your compliance officer to help him or her solve a particular matter.  For our securities industry clients, our experience allows us to have compliance modules in place, which we change to fit your operations.  With many of our clients we "shadow" the chief compliance officer and act as his or her alter ego of compliance.

If you are facing a securities issue, you need a diligent and experienced firm that will monitor the rapid changes taking place in the industry.  

Contact Stafford + Associates.

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Stafford + Associates
4200 Somerset Drive, Suite 237
Prairie Village, KS 66208
(913) 648-9225
(913) 284-0255 (fax)

Stafford + Associates serves clients nationwide including the cities of Kansas City, Omaha, St. Louis, Denver, Dallas, Atlanta, Miami, Naples, New York, and Chicago.

The contents of the website are for informational purposes only. The website does not provide any specific legal advice or guarantee any specific outcome in a legal matter. Use of this website does not create an attorney and client relationship.

CONTACT INFO

4200 Somerset Drive, Suite 237
Prairie Village, KS 66208
(913) 648-9225
(913) 284-0255 (fax)