Securities Law & Regulatory Compliance

Securities Law

Vincent & Rees represents privately held and publicly traded companies with initial offerings and listing maintenance.

Our attorneys have significant experience handling certain aspects of securities law. Whether your company is interested in pursuing an initial offering or desires corporate counsel to advise on securities laws, Vincent and Rees can assist. 



Regulatory Compliance

Regulatory Compliance is one of the primary areas of focus of the Securities Exchange Commission (SEC), FINRA, the NYSE and other SRO’s in the oversight of broker dealers. 
Given the ever increasing importance of anticipating and addressing regulatory compliance issues, We provide a full range of compliance services to many NYSE, FINRA, CBOE and other broker dealers, investment advisors and hedge funds.


Securities Offerings

Vincent & Rees assists numerous individuals and entities with their investments and acquisitions. Vincent & Rees also works with many companies that obtain venture capital investments or are sold to private equity firms. Familiar with the various structures of these arrangements, Vincent & Rees lawyers possess a knowledge of existing market conditions that makes the firm well-suited to handle either side of the transaction.