Broker-Dealer Compliance and Regulation

Based in Washington DC and New York, our broker-dealer team has extensive experience in advising the world’s leading financial market participants on a wide range of cutting-edge issues, including securities and derivatives regulation, capital markets, compliance and enforcement.
 
Chambers USA has recognized our financial services regulation practice for several years. Recently, the guide recognized the firm with a top-tier ranking, and described us as having a "well-regarded financial services practice, with a strong focus on broker dealer regulation and consumer finance." Our capabilities include:

• Regulatory Expertise
• Industry Experience
• Compliance and Enforcement