Securities Enforcement & Compliance

Expert Securities Enforcement and Compliance Representation

At LawVisory, we provide exceptional legal representation for companies and individuals who are under investigation by federal and state agencies, such as the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and state securities regulatory bodies. Our experienced team of professionals assists clients in navigating the intricacies of securities enforcement and compliance. We help address potential risks and ensure that compliance programs meet the rigorous standards established by regulatory authorities.

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.

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.

Contact Us

+1 202-854-0515

1250 Connecticut Ave NW #700, Washington, DC 20036