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About Us

What We Do

Redefining Legal Services


FBLFA plays a critical role in ensuring the integrity of online investment and financial system. FBLFA has embraced innovative and client-focused methods of delivering the legal investing advice that you need. Our vetted and tech savvy On-demand lawyers are ready to deploy whenever and wherever you need them.

We provide guidance on national and global regulatory, legislative, litigation, supervisory, licensing, compliance, corporate, and governance matters.

Working under the supervision of the Securities and Exchange Commission, we:

  • Write and enforce rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S.;
  • Examine firms for compliance with those rules;
  • Foster market transparency; and
  • Educate investors.

Working Process

Our Working Way

Effective Regulation

Integrity through effective and efficient regulation of broker-dealers.

Trading Integrity

Global Legal Insights to Blockchain Cryptocurrency Regulation

Assets Protection

Regulatory framework for fintech businesses and digital assets protection.

Our service commitment to you

We undertake these efforts to protect the investing public against fraud and bad practices. Consider the case of the 77-year-old blind widow, who was victimized just a few weeks after her husband passed away. She had completely relied on her broker to manage her accounts, given her own severely debilitated condition, but her broker took advantage of her. The broker placed more than 700 trades in more than 200 different securities, causing the blind widow to lose about $184,000.

But FBLFA stepped in to make things right. We charged the broker with securities fraud for churning the widow's account and for excessive and unsuitable trading in her account. We were glad to make a difference in this woman's life.

We Play a Big Role

FBLFA is authorized by Congress to protect investors by making sure the broker-dealer industry operates fairly and honestly. We oversee more than 624,000 brokers and analyze billions of daily market events.



The FBLFA Board of Governors, the governing body of the corporation, oversees management in the administration of FBLFA's affairs and the promotion of FBLFA's welfare, objectives and purposes. The information below provides additional information on FBLFA's Board, management and governance.

We use innovative AI and machine learning technologies to keep a close eye on the market and provide essential support to investors, regulators, policymakers and other stakeholders.