PRACTICE

Broker-Dealer Regulation

Overview

PierFerd’s Broker-Dealer Regulation practice group advises broker-dealers, investment advisers, securities exchanges, clearing agencies, and other market participants on a wide range of regulatory, compliance, enforcement, and transactional matters.

  • Full Spectrum of Business Transactions

    Like traditional large law firms, we regularly assist clients in the full spectrum of business transactions and related company matters, a large portion of which involves mergers and acquisitions, capital markets, banking and credit, employment, regulatory, corporate governance and board advisory, intellectual property, and financial restructuring and reorganization, among others.  

  • Leveraging Technology

    Our Corporate team leverages cutting edge technology in all aspects of practice and our diverse all-partner teams focus on what matters most to our clients and stakeholders, delivering outcomes through shared values of strength, diversity, and collaboration.  

  • Forging Close Partnerships

    We believe in forging close partnerships with our clients to better understand their business operations, enabling us to provide more effective counsel and to deliver exceptional value during pivotal moments that often shape profoundly the trajectory and success of our clients’ businesses.

  • Effective Low-Leverage Platform

    Our unique low-leverage platform is not only more cost-effective, it allows us to focus on fewer, targeted engagements than our peers at traditional, elite law firms. This model allows us to get closer to our clients and to know their  businesses, preferences, and cadence, and to ultimately meet our clients where they are.

Capabilities

Our Broker-Dealer Regulation Team has extensive experience navigating the rules and standards of the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), and other federal and state regulators, as well as self-regulatory organizations and industry associations. We routinely represent clients in investigations, examinations, litigation, and arbitration involving securities laws and regulations, market manipulation, fraud, insider trading, customer disputes, and other issues.