Proskauer advises U.S. and global banks, broker-dealers, investment advisers and fund managers, exchanges, clearing agencies and other financial intermediaries on regulation and compliance with federal securities laws, state blue sky laws, FINRA and other SRO rules.
Our lawyers counsel on the registration, formation and acquisition of regulated entities and the expansion of brokerage and advisory activities in the United States and across borders.
We advise on the development of policies and procedures for the conduct and supervision of our clients’ brokerage and advisory businesses.
We provide enforcement defense, assist in the performance of internal audits and investigations and interface with regulatory authorities.
Our experience as industry regulators, senior industry lawyers, professors of law and outside counsel to financial services companies across five continents informs our comprehensive and uniquely pragmatic approach to problem solving.
Each matter is handled with the goal of enabling the client's business imperatives to drive practical solutions.
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