Financial Services Regulation: Broker Dealer (Compliance & Enforcement)

About

Provided by Bressler, Amery & Ross, P.C.

For decades, Bressler has been a trusted partner to financial services firms nationwide. That trust is built on our deep understanding of the business, operational, and legal pressures firms face amid evolving regulations and rapid technological change. Our team has become a leader in advising clients on all aspects of regulatory compliance and enforcement.

We guide firms through the full broker‑dealer regulatory lifecycle — from FINRA membership and ongoing reporting determinations to advising senior leadership at global institutions on supervisory controls. Our strength is rooted in a team that includes former senior regulators and attorneys with decades of in‑house experience. Their collective insight, gained from service at federal and state securities agencies and SROs and as prosecutors, enables clients to navigate complex and often inconsistent regulatory expectations across jurisdictions. 

When firms face regulatory scrutiny, they rely on us with confidence. We have successfully defended investigations and disciplinary matters before the SEC, FINRA, the CFTC, the NFA, and state regulators. From the outset of an inquiry, we work with clients to craft strategies that drive efficient, effective outcomes. Our credibility with regulators enhances our ability to obtain meaningful insight, streamline investigations, and challenge positions when appropriate.