Broker-Dealer Compliance Strategy
Stay Ahead of FINRA and SEC Scrutiny
Whether you’re preparing for an exam, reviewing WSPs, or strengthening your AML and cybersecurity posture — LawVisory delivers attorney-led compliance support tailored to broker-dealers.
✅ Attorney-Client Privileged Review
✅ FINRA & SEC Compliance Expertise
✅ Risk-Based Audit, Policy & Oversight Support
The Risk is Real. The Solution is Strategic.
FINRA exams, enforcement sweeps, and evolving SEC rules have made compliance more than just a policy issue — it’s a legal risk. Most broker-dealers struggle to:
- Keep WSPs current
- Maintain audit-ready AML and KYC programs
- Proactively manage regulatory changes
- Secure client data under FINRA cybersecurity expectations
- Protect senior management from supervisory liability
LawVisory provides broker-dealers with legal-grade compliance solutions to reduce risk and protect firm reputation.
Why Broker-Dealers Choose LawVisory
Attorney-Led Oversight
Our compliance team includes former regulators and legal professionals. All strategy sessions are conducted under attorney-client privilege.
WSP & AML Policy Reviews
We audit, draft, or update your supervisory procedures, AML policies, KYC protocols, and client risk frameworks to align with current rules.
Mock Exams & Testing Programs
Prepare for FINRA or SEC reviews with internal testing, policy gap analysis, and enforcement trend insight.
Cybersecurity & Business Continuity Compliance
LawVisory can create, review and update your written Business Continuity Plan for business resilience.
Ongoing Advisery & Outsourced CCO Options
Need more than just a review? LawVisory offers fractional compliance officer support for growing or restructuring broker-dealers.
Contact Us
+1 202-854-0515
info@lawvisory.com
1250 Connecticut Ave NW #700, Washington, DC 20036
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What You’ll Get From Your Strategy Session
- 30-Min Confidential Call with a Broker-Dealer Compliance Attorney
- Tailored Risk-Reduction Recommendations
- No obligation. No sales pitch. 100% Privileged & Confidential
Who It’s For
This session is ideal for:
- Chief Compliance Officers seeking outside review or policy updates
- Managing Principals & Founders launching or expanding a BD operation
- COOs & Operations Leaders coordinating multi-office supervision
- Legal Counsel navigating recent or upcoming regulatory exams
Our compliance strategy sessions are limited each month due to the confidential, attorney-led nature of our process. Reserve your time now and take the first step toward regulatory peace of mind.