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.

Experience

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), as well as other federal and state regulators, 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.

Practice Contacts

News & Insights