Michael Regan

Formation and expansion of broker-dealers

• Formation, registration and expansion of broker-dealers, ATSs and clearing agencies, including retail brokerage, wealth management, investment banking, private placements, securities research, and secondary trading businesses.

Broker-dealers involved in investigations and enforcement

• Representation of broker-dealers in SEC and FINRA investigations and enforcement matters involving trading practices, Rule 144A securities, structured products, communications, IPO allocations, net capital requirements, and trade reporting.

Energy and infrastructure M&A

• Represents private equity sponsors, independent power producers and other market participants in acquisitions, dispositions, joint ventures and development transactions involving energy and infrastructure projects, including renewable energy and related assets.

Michael Regan helps clients execute strategic transactions and navigate complex financial services regulation. He advises public and private companies, private equity firms and financial institutions on mergers and acquisitions, investments, joint ventures and other corporate transactions, while also counseling broker-dealers, asset managers and other market participants on SEC and FINRA regulatory matters, compliance obligations and cross-border business activities.