Joan Adler, a member of the Firm, specializes in state blue sky laws and broker dealer regulation. She has worked with public and private companies as well as underwriters and placement agents on state law exemptions and registration for initial, secondary and private offerings. Her broker dealer practice runs the gamut from initial through continuing membership and a wide range of compliance issues, including corporate financing compensation, Regulation M, research, communications and social media, Rule 15a-6 chaperone arrangements, unregistered finders, and unregistered crowdfinance platforms. Ms. Adler has shepherded many firms through the broker dealer membership process. In addition, she has advised investment advisors on exemptions and registration on both the federal and state levels. She has participated on several FINRA panels and provided guidance to for the New Membership Application Program, Rule 5110 corporate financing issues, revamping the Public Offering System electronic filing process, and rules for funding portal membership and regulation. Ms. Adler works on a variety of initiatives to support the firm’s transactional business for traditional and emerging capital markets issues (including blockchain and secondary trading concerns).
Ms. Adler is admitted to practice in the state of New York and is a member of the American Bar Association subcommittees for the State Regulation of Securities Laws, FINRA Corporate Financing Rules, Broker-Dealers and Investment Advisers and Private Placement Broker Dealers. She received her JD from Washington College of Law at American University where she was a member of the Law Review and her BA in Communications from Queens College.