Investment Companies, Advisors and Brokers/Dealers |  | |
McAfee & Taft attorneys regularly represent investment companies, investment advisors and broker/dealers – particularly those required to be registered with the SEC, NASD or Oklahoma Department of Securities. Our experience encompasses a broad range of activities, including investment company filings with the SEC (registration statements, annual and semi-annual reports on Form N-CSR, Form N-PX, proxy statements, Form N-Q and other periodic filings), investment advisor Form ADV filings, NASD rules governing broker/dealer advertisements, independent directors’ “best practices,” SEC and NASD-mandated compliance programs, codes of ethics, proxy voting policies and procedures, as well as general compliance matters.