The attorneys at Lehman & Eilen have considerable knowledge and experience with issues impacting the securities industry. Our team has an average of over 25 years of experience working in this industry and is proficient in the rules and regulations applicable to it. We are therefore uniquely qualified to represent broker-dealers, including their principals, registered representatives, and compliance personnel, investment advisers and their representatives, hedge fund sponsors and managers, and other industry participants with regard to regulatory compliance. Compliance with the multitude of changing rules and regulations can be challenging. The securities industry is our focus. Our clients use our experience and knowledge to their advantage. Lehman & Eilen offers advice and counseling to newly-formed and existing companies on compliance issues including: - Securities Act of 1933
- Securities Exchange Act of 1934
- FINRA rules and regulations
- Municipal Securities Rulemaking Board rules and regulations
- Commodity Exchange Act
- National Futures Association rules and regulations
- Investment Company Act of 1940
- Investment Advisers Act of 1940
- Sarbanes-Oxley Act of 2002
- Dodd Frank and Wall Street Reform Act
- USA PATRIOT Act
- Bank Secrecy Act
- NYSE, NASDAQ Stock Market, Inc. and other exchanges rules and regulations
- Securities Investor Protection Corporation (SIPC) rules and regulations
- Other applicable Federal and state laws
Our attorneys advise clients and work closely with their compliance staff to assist in developing and implementing programs, policies and procedures to ensure adherence to rules and regulations. We are also available to evaluate and revise a firm’s existing compliance program. Our goal is always to increase a client’s ability to comply with applicable rules and regulations, thereby reducing the risk of investigations and enforcement actions down the road. When an inquiry, investigation or enforcement action arises, our attorneys can assist in preparing a response to an inquiry, represent you or your firm in an investigation, defend you or your firm in an enforcement action, prepare you or other personnel for on-the-record testimony as well as negotiate a settlement, such as an Acceptance, Waiver and Consent (AWC) with FINRA or make a Wells Submission on your or your firm’s behalf to the regulatory authorities. We have experience working with the SEC, FINRA, the CFTC, NFA, state and other regulatory agencies. Should you or your business face any of these regulatory issues we will work strategically to reduce the affects as soon as possible. Your business might also be subjected to a regulatory examination or audit. Our attorneys can assist you in anticipation of an SEC, FINRA or other regulatory exam or audit by reviewing submissions and working with you and your staff to prepare them for an on-site inspection. The financial services industry is heavily regulated and those involved must abide by the rules in order to succeed. If you are a broker-dealer, principal or registered representative of a broker-dealer, an investment advisor, investment adviser representative, hedge fund organizer or manager, it is imperative to be represented by a seasoned attorney when embroiled in a compliance matter. If you are in need of regulatory counsel, contact the attorneys at Lehman & Eilen for a consultation. |