Uniquely qualified as former regulators to assist member firms

Regulatory expectations remain exacting. Enforcement risk persists.

We assist broker-dealers, including limited-scope broker-dealers, capital acquisition brokers, and other financial intermediaries, with compliance under the federal securities and commodities laws, applicable state securities laws, and the rules of FINRA, the NFA, and other self-regulatory organizations. Our work spans the formation and registration of regulated entities, ongoing compliance support, and regulatory matters arising in connection with brokerage, advisory, and derivatives activities in the United States and across borders.

We regularly advise on examination preparedness, supervisory systems, regulatory inquiries, and independent reviews. We also engage directly with regulatory authorities as matters arise. Our experience as former regulators and senior compliance executives informs our work across the full lifecycle of broker-dealer regulation. That experience shapes a disciplined approach aligned with how regulatory requirements are interpreted, examined, and enforced in practice.

Advising firms through the compliance life cycle

We work with firms at critical points across the compliance lifecycle, from initial formation and registration through ongoing supervision, examination readiness, regulatory response, and structural change. Our work is informed by how regulatory obligations are applied in practice by examination staff, enforcement divisions, and self-regulatory organizations. We assist firms in building and maintaining compliance frameworks that are proportionate to their business, aligned with regulatory expectations, and capable of withstanding supervisory review, examination, and regulatory inquiry over time.