<p>David Baum’s practice includes counseling investment companies, investment advisers, broker-dealers, insurance companies and banks on matters relating to the development and offering of investment products and services. David specializes in regulatory and transactional matters, including the organization, registration and operation of investment companies, investment advisers and broker-dealers, and has experience in mergers and acquisitions of these entities. 


David has extensive experience negotiating distribution arrangements for investment companies and investment advisers; has counseled them regarding the applicability of federal and state securities laws to their business activities; and has represented them in their dealings with regulators. David also represents a wide variety of broker-dealers in all aspects of their business and has provided them with ongoing advice regarding the applicability of federal and state securities laws and the rules of self-regulatory organizations to their activities.