SECURITIES ENFORCEMENT AND COMPLIANCE

We represent companies and individuals in all phases investigations by federal and state agencies, including SEC, Financial Industry Regulatory Authority (“FINRA”), and state securities regulatory agencies.

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Investigations and Enforcement actions present serious risks

LawVisory professionals represent clients in investigations and enforcement proceedings concerning federal securities laws, FINRA rules, and AML regulations.

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Ensuring Compliance Programs meet required regulations

We assist investment advisors and broker-dealers with the development, auditing, and testing of compliance policies, procedures, and systems. We also assist broker-dealers with the internal inspections, annual evaluations, and certifications required by FINRA Rules 3010, 3012, and 3013. We also conduct SEC Rule 206(4)-7 annual reviews for investment advisors. Our experience also includes conducting mock examinations for investment advisers and broker-dealers.


We provide principled and sensible advice

 

We regularly counsel RIAs and broker-dealers on all aspects of the federal securities laws and FINRA rules.

  

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