David Baum’s practice includes counseling investment companies, investment advisers, broker-dealers, insurance companies and banks on matters relating to the development and distribution of investment products and services.
David focuses on regulatory and transactional matters, including the organization, registration and operation of registered and unregistered investment companies, investment advisers and broker-dealers, and has experience in mergers and acquisitions of these entities.
David has extensive experience counseling registered investment companies on formation, registration, disclosure and compliance issues. Additionally, he has experience negotiating distribution arrangements for investment companies, has counseled them regarding the applicability of federal and state securities laws to their business activities, and has represented them in their dealings with regulators.
David also represents a wide variety of broker-dealers in all aspects of their business and has provided them with ongoing advice regarding the applicability of federal and state securities laws and the rules of self-regulatory organizations to their activities.