Securities
Mr. Ziaukas has been helping investment management and broker-dealer clients with their SEC, FINRA and state regulatory and compliance obligations, as well as their daily operations, since 1985.
As a solo practitioner, Mr. Ziaukas is able to bring his Wall Street training and long experience to bear in a cost-effective way to provide legal service at the highest professional standards for his securities clients.
Mr. Ziaukas’s practice in Securities Law includes:
- Helping asset management firms to determine whether (and if so, how) they must register as investment advisers with the SEC or the states;
- Preparing Form ADV (Parts 1 and 2) for advisers who must register;
- Counseling registered adviser clients preparing for and responding to SEC audits;
- Advising brokers and soliciting agents in determining whether (and if so, how) they must register as broker-dealers;
- Preparing Form BD for agents who must register;
- Counseling FINRA member clients preparing for and responding to FINRA audits;
- Negotiating and drafting investment advisory agreements;
- Reviewing and drafting broker and soliciting dealer agreements;
- Helping clients to develop and implement their supervisory and compliance procedures, including AML obligations and privacy policies, and preparing and drafting the related manuals; and
- Counseling clients about all of the other unexpected compliance-related issues that arise in their daily operations.