Our staff has extensive experience in responding to the SEC and other regulatory inquiries, and we are prepared to promptly respond to regulatory issues, including regulatory inquiries related to cycle and sweep examinations, improper trade practice issues, and or other regulatory issues. These regulatory responses must be prompt, carefully considered and accurate in addressing each issue or deficiency, particularly if allegations of a securities law violation are involved.
In addition to our experience, We also understand the advisory business, and that also enables us to provide prompt, effective regulatory responses to regulatory inquiries and allegations at both the state and federal levels.