Jeffrey Andrew SmithClients’ ChoiceAward 2021
 

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.