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, NFA and other self-regulatory organizations. We approach each matter with a focus on practical solutions that support each business’ objectives.

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

Our lawyers counsel banks, broker-dealers, and other financial intermediaries on the formation, registration, and acquisition of regulated entities, as well as the expansion of brokerage, advisory, and derivatives activities in the U.S. and across borders.

We provide enforcement defense, assist with internal audits and investigations, and interface with regulatory authorities.

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