U.S. Domestic Trade Regulation

Regulatory investigations can pose a serious risk to a corporation's business.  Zelle Hofmann has represented insurers,  registered representatives, financial planners, and investment advisors who are being investigated by regulatory agencies, including the SEC, Department of Labor, State Attorney General, California Department of Corporations, the NASD, and the Certified Financial Planner Board of Standards.  Our experience also includes preparation of filings to comply with the pre-merger notification rules under the Hart-Scott-Rodino Antitrust Improvements Act, preparation and filing of comments on the promulgation of regulations by state and federal agencies, and defending clients in administrative actions by federal commissions.