A large part of our work is to implement, supervise and enforce international standards and regulations in the securities market. Part of our services is to regulate the implementation of financial instruments but also to ensure that investors receive the essential information about the financial markets and the risks that are involved in trading.

Broker-Dealer Regulatory & Enforcement

Few firms can offer a practice with the size and depth of experience as our Broker-Dealer Regulatory & Enforcement Group. Our team of lawyers is dedicated entirely to this area, providing regulatory and compliance advice to broker-dealers and other financial services firms and handling SEC and SRO examination and enforcement matters.

We also assist banks and hedge funds in their dealings with broker-dealers and act as regulatory counsel in connection with acquisitions involving broker-dealers. We often collaborate across practices, including with our white collar defense & government relations, bank regulatory and securities litigation (‘33 Act) practices. This combination of superior knowledge and experience bolsters both the size and services we provide to our clients.

Our team of analysts locate, analyze and interpret information for you. Carrying out thorough and accurate research of the market is an essential part of being a Broker Regulator