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February 2023

Lawrence Cohen Authors Regulation of Brokers and Dealers Chapter of Securities Law Treatise

Gordon Rees Scully Mansukhani Phoenix lawyer Larry Cohen has updated, for 2023, the third chapter “Regulation of Brokers and Dealers” of the securities law treatise, “Federal Securities Exchange Act of 1934,” published this month by Matthew Bender Elite Series. 

First published in 1971, this comprehensive work explores, in addition to the registration and regulation of broker-dealers covered by Mr. Cohen,

  • the organization of the Securities Exchange Commission (“SEC”);
  • 1934 Act registration and reporting requirements, Integrated Disclosure, proxy rules, proxy contests, insider trading, and short-swing trading;
  • Registration and regulation of securities markets, broker-dealers, transfer agents, and clearing agencies;
  • SEC enforcement actions, private civil liabilities.

Cohen has a diverse national business law practice spanning general business law, securities/futures and capital markets regulatory matters, franchising, and the cannabis industry. His expertise is especially solid in broker-dealer and investment adviser regulations and compliance, as well as private and public fund and REIT formation and structuring. He provides legal advice to start-ups and established companies alike on capital raising in a range of investment sectors, including cryptocurrencies. He is a prolific writer on many business law topics, including for the LexisNexis “Practical Guidance” series, and a frequent speaker at industry events.

To learn more or access a copy, please click here. 

*Please note that Gordon & Rees has no affiliation with nor receives compensation from the publisher.

Lawrence Cohen



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