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Sub practice

Broker-Dealer/Securities Firm Regulation

Our team covers a broad waterfront of issues facing global and national financial institutions engaged in securities transactions within the United States, including foreign and domestic banks, insurance companies, investment advisers and private fund managers. Our clients range from financial institutions specializing in investment banking to market leading clearing firms and prime brokers.

We have extensive experience counseling foreign and domestic financial institutions on issues related to their status as brokers and dealers and helping financial institutions to register with the SEC and to become members of Self Regulatory Organizations (SRO) such as the Financial Industry Regulatory Authority (FINRA). We also assist broker-dealers in developing and revising written compliance policies and supervisory procedures and conduct reviews of their supervisory systems.

We counsel U.S. and international financial institutions, investment advisers and broker-dealers on issues related to compliance with the SEC’s financial responsibility rules, including the Net Capital and Customer Protection Rules, recordkeeping requirements, and financial reporting rules. We also advise with respect to sales practice regulations including suitability, point-of-sale disclosures, gifts and entertainment practices, and compensation structures for representatives.

News and insights

Picture of darks waves with golden bokeh dots on the surface leading away from the screen

Publications: 04 April 2024

Deconstructing Crypto Episode 10: SBF, AI-Washing and Major Case Developments

In episode 10 of Deconstructing Crypto, Todd Fishman and Gene Ingoglia review the sentencing of FTX founder Sam Bankman-Fried, discuss the SEC’s settlement with two investment advisors over alleged…

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ECB building and Frankfurt city skyline

Blog Post: 04 April 2024

EU court’s judgment sheds new light on how the ECB should apply national administrative measures

The General Court of the European Union recently delivered its judgment on a dispute between an Austrian bank (BAWAG) and the ECB over the imposition of an administrative measure for breaching the…

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long exposure photo in a metropolitan area with light trails

Publications: 03 April 2024

Plan for the worst, hope for the best: PRA policy on solvent exit planning for non-systemic banks and building societies

The PRA has published its final policy on the requirements for non-systemic UK banks and building societies to prepare for a solvent exit.  The new rules require all firms in scope to prepare for an…

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Stairs wrapping around an elevator

Publications: 10 January 2024

Wealth management by "family offices" in Poland and the licensing requirements

In recent years, there has been an increased interest in Poland in the services of so-called "family offices", ie private wealth management.

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Investigations Insight

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Focusing on the latest trends, risks and developments in business crime and financial services investigations