Broker-Dealer Advisory & Counseling

Our attorneys have a deep understanding of the complex and constantly changing regulatory environment in which financial institutions operate. We advise both global and regional broker-dealers on all aspects of regulatory compliance. Our professionals serve a variety of needs, including trading, sales, and research advice; internal reviews and investigations; assisting with regulatory examinations; policies and procedures; and education and training. We have the depth of knowledge and experience needed to effectively counsel clients on all regulatory matters that impact their businesses in this fluid and often turbulent environment.

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Looking Forward

The new administration has installed leadership at the SEC that promises a more aggressive path for securities regulation. Market participants can expect more regulation by enforcement and less regulation by regulatory guidance. Market participants can also expect less regulatory leeway in addressing perceived faults or violations. The best antidote for this turn of events is for financial firms to establish clear internal policies and procedures to assure that rule compliance is fulfilled. And if regulatory inquiries take place, it is imperative to involve counsel at an early stage to optimize regulatory outcomes.