Business & Finance
Few firms can offer a practice with the size and depth of experience as our Broker-Dealer Regulatory & Enforcement Group. Our team of lawyers is dedicated entirely to this area, providing regulatory and compliance advice to broker-dealers and other financial services firms and handling SEC and SRO examination and enforcement matters. We also assist banks and hedge funds in their dealings with broker-dealers and act as regulatory counsel in connection with acquisitions involving broker-dealers. We often collaborate across practices, including with our white collar defense & government relations, bank regulatory and securities litigation (‘33 Act) practices. This combination of superior knowledge and experience bolsters both the size and services we provide to our clients.
Alerts
November 7, 2023
Alerts
November 7, 2023
Alerts
September 6, 2023
Alerts
August 25, 2023
Firm News
June 1, 2023
Firm News
May 12, 2023
Firm News
SRZ Shortlisted for 2023 IFLR Americas Awards
March 23, 2023
Alerts
October 20, 2022
Alerts
August 9, 2022
Publications
June 2022