Joan Adler, a member of the Firm, specializes in blue sky laws and broker dealer regulation. Ms. Adler 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. 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 to develop the New Membership Application Program, Rule 5110 corporate financing issues, revamp the COBRADesk electronic filing process, and will be working proactively with regulators to establish guidelines for crowdfunding portals authorized by the JOBs Act. Separately, Ms. Adler works with issuers on exchange listings and has assisted one of our SPAC clients to uplist from the OTCBB to NASDAQ in the wake of the SEC reverse merger rules.
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.