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About Us

Who We Are


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 regularly advise clients on a wide range of cross-border issues, among them the implications of taking their products into new countries and regions, the regulatory implications of important acquisitions and transactions and the comparative benefits of selecting particular jurisdictions for carrying on business.

Why Choose us ?

Protecting Investors

FBLFA is dedicated to protecting investors and safeguarding market integrity in a manner that facilitates vibrant capital markets.

Every investor in relies on one thing: fair financial markets. To protect investors and ensure the market's integrity, FBLFA is an authorized organization that oversees broker-dealers.  We work every day to ensure that everyone can participate in the market with confidence. 

  • Every investor receives the basic protections they deserve;
  • Anyone who sells a securities product has been tested, qualified and licensed;
  • Every securities product advertisement used is truthful, and not misleading;
  • Any securities product sold to an investor is suitable for that investor's needs; and
  • Investors receive complete disclosure about the investment product before purchase.

Our service commitment to you

Our firm has a very integrated and collaborative international practice bringing together regulatory and other lawyers across jurisdictions to obtain regulatory consents, provide comparative assessments of regulations across jurisdictions and resolve regulatory problems.

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.