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Broker-Dealer & Investment Management Regulation

Overview Press Room

Overview

Proskauer advises U.S. and international banks, broker-dealers, investment advisers, fund managers, investment companies, REITS, exchanges, clearing agencies, swap entities and other financial intermediaries on regulation and compliance with federal securities and derivatives laws, state blue-sky laws, and the rules of FINRA, the NFA and other self-regulatory organizations (SROs). We handle each matter with the goal of providing practical solutions to our clients’ business imperatives.

We advise our clients on the conduct and supervision of their brokerage, advisory and derivatives businesses, including the development and implementation of policies and procedures.

Our lawyers counsel on the formation, registration and acquisition of regulated entities and the expansion of brokerage, advisory and derivatives activities in the U.S. and across borders.

We provide enforcement defense, assist in the performance of internal audits and investigations, and interface with regulatory authorities.

We have significant experience as industry regulators, senior industry lawyers, professors of law and outside counsel to financial services companies across five continents. This informs our comprehensive and pragmatic approach to problem-solving.

Select any of the subjects below to view memoranda, forms, tutorials and other useful information.

Broker-Dealer Regulation

Investment Adviser Regulation

 

Swap Entity Regulation


Videos Right Arrow

Registered Finders’ AML-CIP Requirements

Research and Follow-Up Contact under SEC Rule 15a-6

Investment Advisers Act - Implications for Soft Dollar Arrangements - Part 1

Investment Advisers Act - Implications for Soft Dollar Arrangements - Part 2

Regulation of Research under Rule 15a-6, Reg. AC and FINRA