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heavy d

03/12/08 1:18 PM

#17239 RE: heavy d #17238

LOOK AT THIS TOO : Securities Enforcement

APZ handles a wide range of important counseling, regulatory and enforcement matters for public companies, broker-dealers, investment advisers, investment companies and individuals across the country.

Our practice includes representing public companies and their officers and directors in a wide variety of SEC investigations. We conduct internal investigations and compliance reviews for broker-dealers and investment advisers to assess the adequacy of, and assist in the development of, regulatory policies and procedures and internal controls.

In addition, we have been called upon to answer complex disclosure and regulatory questions and to assist clients with requests for modification, interpretation or exemption from application of SEC or self-regulatory organization (SRO) rules and regulations. We believe we offer clients in these highly regulated businesses insights in dealing with the myriad complex regulatory issues, which arise in their day-to-day operations.

We endeavor to create practical and effective solutions. Our diverse skills and talent, our commitment to thorough and comprehensive preparation at the earliest stages of an inquiry, and our extensive knowledge of the federal regulatory and enforcement processes contribute to our success and reputation in this highly visible yet sensitive practice area.