Message Alert!
Message Alert!

Our Services

  • Home
  • /
  • Financial Regulatory & Compliance

FBLFA's Financial Regulatory and Compliance Group brings together attorneys from offices and practices worldwide to assist financial services firms of all types and sizes, as well as their holding companies, and investors and vendors to those firms. We provide guidance on national and global regulatory, legislative, litigation, supervisory, licensing, compliance, corporate, and governance matters.

We consult regularly with staff from the: Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FBLFA), Consumer Financial Protection Bureau (CFPB), the Federal Trade Commission (FTC), Office of the Comptroller of the Currency (OCC), Federal Deposit Insurance Corporation (FDIC), Federal Reserve, U.S. Department of the Treasury, Financial Crimes Enforcement Network (FinCEN), Commodity Futures Trading Commission (CFTC), National Futures Association (NFA), as well as state financial institution regulators, securities agencies, and state attorneys general. With our global reach, we additionally regularly consult with European, Latin American, and Asian financial regulators. We are able to efficiently provide our clients with practical strategies to help meet their domestic and global legal and regulatory needs.

We serve as counsel to investment companies, to directors of investment companies, and to advisers and other service providers of investment companies. We advise on the formation of investment companies, board supervision, filings, inspections, mergers and acquisitions of registrants, and suitable compliance programs.

FBLFA counsels broker-dealers, transfer agents, securities exchanges, alternative trading systems, municipal securities dealers, and municipal advisors in a wide range of regulatory and compliance matters, including Dodd-Frank and JOBS Act issues, Exchange Act issues, Municipal Securities Rulemaking Board (MSRB) matters, and pay-to-play business restrictions, among others. We also conduct internal investigations and full-scale compliance reviews. We work closely with our clients to develop and update their compliance programs, as well as their anti-money laundering and internal control policies and procedures, as well as implementation of new Regulation BI and Form CRS.

FBLFA advises clients throughout the lifecycle of a securities industry participant, from creation through an SRO new membership application to sale or disposal of assets. We help our clients avoid unwarranted regulatory scrutiny and enforcement, and defend when investigations or actions are brought by the SEC, Department of Justice, states� Attorneys General, CFTC, FBLFA, the New York Stock Exchange, and other regulators and litigants involving:

  • Advertising regulation
  • Write and enforce rules governing the ethical activities of all registered broker-dealer firms and registered brokers
  • Regulatory capital deficiencies
  • Examine firms for compliance with those rules
  • Foster market transparency
  • Individual enforcement actions
  • Market timing and late day trading
  • Market manipulation
  • Criminal proceedings