Broker-Dealer Compliance Strategy
Stay Ahead of FINRA and SEC Scrutiny

Investment Legal & Compliance Services

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.