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Email: mboos@fredlaw.com
Office: 612.492.7180
Assistant: Nicole Bartz, 612.492.7554
Investment Management
Litigation
Securities Litigation
White Collar & Regulatory Defense
Website Accessibility
Trusts & Estates Litigation
“Matt delivers exceptional legal advice and service in the investment management space, consistent with our firm’s values and evolving needs. Matt is knowledgeable and responsive and is an invaluable partner who instills confidence as we navigate an ever-changing business and regulatory landscape. Through his work with us on our recent SEC exam, Matt again affirmed his value as a ‘go-to’ trusted legal advisor for our firm.”
Matt is an experienced business and securities litigator and investment management lawyer who regularly represents clients in complex business disputes, including regulatory proceedings by the SEC, FINRA and other regulators.
Matt has over 25 years of experience litigating in federal, state and administrative forums around the country. He is head of Fredrikson & Byron’s Investment Management Group, and is also a shareholder in the firm’s Business, Securities, Trusts & Estates and Insurance Litigation Groups.
Matt serves as outside general counsel to many Registered Investment Advisory firms advising clients on a wide array of regulatory and compliance matters, including those arising under the Investment Advisers Act of 1940. Matt represents wealth management firms, investment adviser representatives, financial planners, broker-dealers, advisers to private funds, investment companies, insurance companies, public and private companies and individuals being examined, investigated or sued by the United States Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), other SROs and state and federal regulators. In addition to his regulatory defense work, Matt advises many advisory firms.
For much of his career, Matt has worked with organizations dedicated to ensuring that those without sufficient economic resources have access to legal representation, including the Volunteer Lawyers Network (past Board Chair); and he has worked as Co-Chair of the Legal Access to the Disadvantaged (LAD) Committee of the Minnesota State Bar Association. Matt was appointed by the Minnesota Supreme Court and served for six years on the Legal Services Advisory Committee (LSAC), which makes grants to legal services programs serving low-income clients in Minnesota. Matt also volunteers through Children’s Law Center.
What steps should a company take when contacted by the Securities and Exchange Commission SEC?
How can insurance help a company that is being investigated by the SEC?
What can a company expect when participating in an arbitration in front of FINRA?
What are the basic legal needs of the investment management community?
How do experienced attorneys add value to investment management?
March 15, 2021
By Ryan C. Young and Matthew T. Boos
The SEC, through its Division of Examinations, has published its exam priorities for 2021. According to the SEC, these priorities reflect certain practices and products that may present more risk to investors and/or the integrity of the U.S. capital markets. This article contains several items of interest to Registered Investment Advisers and Broker-Dealers.
May 6, 2020
Are RIA firms required to disclose to clients a successful PPP loan application? One can imagine circumstances requiring disclosure, but what if the circumstances were different?
March 31, 2020
The SEC issued an updated order regarding a temporary exemption from certain requirements of the Investment Advisers Act of 1940.
March 17, 2020
On Friday, in response to the outbreak of COVID-19, the SEC issued an Order providing a temporary exemption from certain requirements of the Investment Advisers Act of 1940.
January 17, 2020
According to the SEC, these priorities reflect certain practices and products that may present heightened risk to investors and/or the integrity of the U.S. capital markets.
November 1, 2018
By Ryan C. Young & Matthew T. Boos
Over the last few years, the securities industry has seen increased efforts from the FINRA, the SEC and other state and federal regulatory authorities, to generally increase protections afforded to senior investors and prevent financial exploitation of seniors.
January 22, 2018
By Ryan C. Young and Matthew T. Boos
The Financial Industry Regulatory Authority (FINRA) published its 2018 Annual Regulatory and Examination Priorities Letter on January 8, 2018.
July 27, 2017
By Ryan C. Young & Matthew T. Boos
On June 5, 2017, the Supreme Court placed a significant limitation on the SEC’s use of disgorgement in enforcement actions.
June 15, 2017
By Ryan C. Young & Matthew T. Boos
The Financial Industry Regulatory Authority announced a February 5, 2018, effective date for FINRA’s new rules aimed at addressing financial exploitation of seniors.
November 15, 2016
By Matthew T. Boos, Steven E. Helland & Karla L. Reyerson
In a trend that began several years ago and has migrated through several industries, investment firms are among those being targeted by enterprising plaintiffs’ lawyers alleging that the firms’ website are inaccessible to blind or otherwise disabled users. The claim is that the firms are violating the Americans with Disabilities Act (ADA).
April 7, 2016
By Debra J. Linder & Matthew T. Boos
On April 6, 2016, the Department of Labor issued its much-anticipated conflicts of interest final rule. Like the proposed rule, the final rule broadens the definition of fiduciary and will likely require more investment advisers to comply with the fiduciary rules under the Employee Retirement Income Security Act of 1974 (ERISA), as it applies to advice provided to both qualified retirement plan participants and IRA account holders.
February 5, 2016
The Securities and Exchange Commission (SEC), through its Office of Compliance Inspections and Examinations (OCIE), has published its exam priorities for 2016. According to the SEC, these priorities reflect certain practices and products that may present heightened risk to investors and/or the integrity of the U.S. capital markets.
