Practice Area
We counsel broker-dealers, investment advisers, fintech companies, and digital asset platforms on the full spectrum of financial services regulatory requirements - from registration and licensing to ongoing compliance and enforcement defense.
What We Do
Regulatory counsel for broker-dealers, advisers, and fintech platforms.
Full-service SEC and FINRA registration, from Form BD through membership approval.
Supervisory procedures, AML programs, and compliance infrastructure built for your model.
Private placements, Reg D, Reg A+, and exemption analysis for capital raises.
Regulation ATS compliance and Form ATS-N filings for digital asset trading platforms.
Preparation, response, and resolution for SEC, FINRA, and state examinations.
State and federal licensing analysis, applications, and BSA compliance.
Decades of experience navigating the regulatory landscape for broker-dealers, funds, and financial institutions.
Representative Matters
Select engagements reflecting the scope of our financial services practice.
Broker-Dealer
Guided a tokenized securities platform through SEC and FINRA broker-dealer registration. Achieved membership approval within the expected timeline.
Compliance
Restructured AML/BSA compliance for a crypto exchange ahead of FinCEN examination. Updated KYC procedures and transaction monitoring protocols.