McCabe & Flynn LLP is able to provide the securities industry professional a wide variety of services such as corporate formation and organization, registration with the Securities and Exchange Commission and self-regulatory organizations (SROs), mergers and acquisitions, business restructuring, on-going regulatory compliance counsel and representation of clients during SRO inquiries, investigations and disciplinary proceedings and arbitrations.


Our Corporate/Securities Regulation Group acts as general and special counsel to all members of the securities industry: broker-dealers (including specialists, market-makers clearing firms, brokerage firms and proprietary trading firms), investment partnerships, hedge funds, investment advisors and registered representatives. We have the vast experience to handle a broad range of corporate, legal and regulatory issues facing industry firms and professionals. Our corporate activities specifically include corporate formation and organization of firms, partnership and limited liability company issues and agreements, private placement offerings, Regulation D, hedge fund start-up, mergers and acquisitions and corporate reorganizations.

Securities Regulation

Our regulatory activities include broker-dealer registrations with the SEC and membership applications with the NASD, NYSE, Amex, CBOE and other securities exchanges, blue-sky registrations, subordinated loan agreements, exchange membership acquisitions and sales, seat lease agreements, navigation through the SROs during modifications to or restructuring of member firms, prohibitions against Free-Riding and Withholding, Rule 144, Rule 144A, Rule 13D and 13G filings, NYSE Rule 98 and Amex Rule 193. We provide ongoing compliance and securities regulation counsel and representation of firms and industry professionals during all stages of SEC, NASD and Exchange inquiries, investigations, disciplinary proceedings, arbitrations and administrative proceedings.