About Bryant Law
Bryant Law was founded in 1997 by Susan E. Bryant, when she returned to the private practice of law after a number of years as a securities regulator and later as in-house securities counsel and compliance officer. Bryant Law was first established in Farmington, Connecticut. In 2004, the firm opened an office in Camden, Maine and by the end of 2004, moved its offices to Maine from where the firm continues to service clients throughout the United States. Clients of the firm obtain advice on complex securities issues, dealing with regulatory issues and general business matters. The attorney and staff at Bryant law are available to provide advice and assistance on the following:
- legal, regulatory and compliance issues under federal securities laws and regulations, Anti-Money Laundering rules, rules of the Financial Industry Regulatory Authority (FINRA), state securities regulations (Blue Sky Laws) and guidelines issued by the North American Securities Administrators Association (NASAA);
- structuring, organizing and advising all types of business entities, including corporations, general partnerships, limited liability companies, limited partnerships and sole proprietorships;
- filings on behalf of clients through the Central Registration Depository (CRD) and the Investment Adviser Registration Depository (IARD) maintained by FINRA;
- application of NASAA Guidelines to public and private securities offerings;
- registration and qualification of investment advisers, broker-dealers, mutual funds, other types of investment companies, insurance securities, variable annuities and variable life insurance;
- application of securities laws to solicitors, finders and third party marketers;
- preparing and negotiating contracts and agreements, such as leases, employment contracts, sale of businesses, mergers and acquisitions;
- negotiation and resolution of administrative matters before the U.S. Securities and Exchange Commission (SEC), FINRA, or state securities regulators;
- preparation and implementation of compliance procedures for investment advisers and broker-dealers;
- audits of compliance systems and anti-money laundering programs;
- ongoing advice to regulated entities about establishing and maintaining compliance systems and the application of state and federal laws and regulations to their respective businesses;
- expert testimony about compliance systems, securities laws and regulations;
- conducting audits of compliance systems mandated under regulatory settlements.