We are experienced in providing legal advice and compliance support to our diverse clients. As former SEC and FINRA attorneys, we bring invaluable government experience and insight to our representation of regulatory and compliance matters. We have broad subject matter expertise across all FINRA and SEC program areas and continue to monitor key developments at the SEC and other regulatory agencies.

We provide advice on federal and state securities laws, rules and regulations of FINRA, the securities exchanges, and other self-regulatory organizations.

There cannot be a “one size fits all” approach to regulation. We understand how regulations impact our clients from a cost and operational perspective, and what actions are required to comply with a given rule based on diverse business models, size and geographic locations.