ZAG-S&W’s Broker-Dealer Regulation practice steers clients successfully through complex regulations, and provides advice on ongoing compliance programs.
We represent U.S. and non-U.S. brokers, dealers, private funds, banks and other financial institutions regarding a wide variety of regulatory matters relating to their securities-related business in the United States. We help these clients to obtain approvals and provide advice regarding new products, lines of business, changes in corporate structure, mergers and acquisitions and joint ventures.
From the initial point of registration with the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and state authorities, we routinely advise clients with regards to structuring and evaluating securities and services offerings in the U.S.
In addition to preparing compliance policies, disclosure and financial reporting requirements applicable to specific business arrangements, services and transactions, we also assist clients with investigations or disciplinary actions.