Margaret Mudd, a member of the firm’s Corporate Services Group, combines her long-standing mergers and acquisitions practice with deep regulatory experience advising investment advisers to lead investment adviser transactions. Margaret has represented investment advisers acting as buyers or sellers. She also counsels investment advisers and broker-dealers regarding federal and state securities laws, with a focus on regulatory initiatives, compliance programs and general contractual matters.

In addition to her practice focus on the investment adviser industry, Margaret further serves clients with corporate governance, mergers and acquisitions, and securities transactions across a range of other regulated industries, including industrial security.

Investment Adviser and Broker-Dealer Regulation and Compliance

Margaret advises investment advisers and broker-dealers regarding federal and state securities laws, including FINRA rules. She has completed extensive projects for investment advisers and fintech companies regarding Advisers Act Rule 206(4)-2 (the SEC Custody Rule for investment advisers), Advisers Act Rule 206(4)-1 (the recently implemented Marketing Rule) and matters related to Form ADV and Form ADV revisions, disclosure drafting and internal controls. She has also counseled clients regarding a range of Securities and Exchange Act rules and FINRA rules. She is also advising clients regarding currently pending SEC rulemaking that would expand on existing obligations.

Margaret draws from both her regulatory experience and extensive contractual drafting experience to provide both compliance and general business advice to investment advisers, broker-dealers and fintech companies with a range of sizes and business models.