Seymour H. BucholzOf Counsel - New York
Seymour Bucholz has decades of corporate legal experience. A seasoned transactional attorney, in recent years he has focused on corporate and regulatory matters, particularly for broker-dealer clients, including formation, registration, acquisition, development, dissolution and liquidation of securities brokerages, reporting-related counseling, licensing, operational, investigatory, supervisory, enforcement, financing and net capital issues for member organizations of the the NYSE, FINRA, AMEX and other security exchanges, as well as counseling in connection with registered investment advisors.
Mr. Bucholz also handles securities and securities-financing work for issuers, including private placements, registration statements, proxy statements, 10-K and 10-Q reporting, Rule 144 opinion advice, and an array of related counseling.
He served in the U.S. Army from 1961 to 1962 and in the U.S. Army Reserve from 1962 to 1967. Later, he served as assistant national legal director of the ACLU, and subsequently as in-house counsel for the New York Central (Penn Central) Railroad.
- "FINRA 2013 Examination Priorities for Broker-Dealers," Garvey Schubert Barer Legal Update, April 4, 2013.
- "Dodd-Frank and New SEC Rulemaking Initiatives: A New Regulatory Landscape for Investment Advisers," Garvey Schubert Barer Legal Update, Winter 2010.
- "FINRA 2010 Field Examinations," Garvey Schubert Barer Legal Update, April 14, 2010.
- "FINRA 2009 Field Examinations," Garvey Schubert Barer Legal Update, May 8, 2009.
- "Soft Dollar Practices in 2007," Garvey Schubert Barer Legal Update, May 7, 2007.