SEC Compliance

The attorneys at Boddie & Associates are experienced in dealing with the Securities and Exchange Commission, as well as all related legislations and agencies.  Aside from SEC, state, and federal litigation, our lawyers also represent clients in civil litigation.  We represent companies, officers and directors, Audit Committees, broker-dealers, investment banks, outside professionals and others in all aspects of securities and corporate litigation and investigations. 

We understand how the SEC is structured and how its regulations apply to any case brought before us.  We offer counsel on SEC investigation issues, including:

• financial accounting fraud
• disclosure and reporting irregularities
• stock option backdating
• insider trading
• broker-dealer trading and operations
• IPOs and other offerings
• hedge fund conduct
• trading irregularities
• Foreign Corrupt Practices Act issue

We advise clients on compliance issues under the federal securities laws, as well as offering counsel on the availability of exemptions from the state and federal registration process and obtain SEC no-action letters involving a broad spectrum of matters.  We counsel clients with respect to compliance with state securities regulations and the Investment Company Act as well.  As defense attorneys, we quickly create a strategy to assist clients with interviews, hearings, and documents in order to convince regulators that no further action is necessary.