Morrison & Foerster counsels broker-dealers – including independent broker-dealers and the broker-dealer affiliates of major financial institutions, hedge funds, investment advisers and audit companies – on a full range of issues related to compliance, regulation and enforcement by the U.S. Securities and Exchange Commission (SEC), state securities regulators, the Financial Industry Regulatory Authority (FINRA) and other self-regulatory organizations (SROs).
We leverage the experience and knowledge of a multidisciplinary team of lawyers, which includes several former senior officials of both the SEC and FINRA, and apply an industry-focused approach to advise our clients on all regulatory compliance and enforcement issues unique to the securities industry, including:
Enforcement and Litigation. While we take every measure to ensure our clients' compliance with all federal and state securities laws, we also understand the unavoidable risks of alleged non-compliance and the resulting actions and investigations. When necessary, we call on the firm's Securities Litigation, Enforcement + White-Collar Criminal Defense lawyers, many of whom are experienced broker-dealer practitioners, to defend our clients and their officers and directors in enforcement actions, investigations, class actions, derivative actions and in other litigation arising from securities activities.
Capital Markets. Our international footprint and experience representing the broker-dealer affiliates of some of the world's largest financial institutions position us at the intersection of banking and securities regulation. Working closely with our Capital Markets lawyers, we assist our financial institution clients to develop new financial products and securities offering methodologies, and prepare offering documentation that complies with federal, state and relevant international securities laws, including U.S. banking laws, where applicable.
Frequently Asked Questions
To view the complete collection of MoFo’s FAQs, please click here.
Our BD/IA Regulator blog provides timely insights and recommendations on compliance, regulatory and enforcement matters.
A Financial Services Glossary: Making Sense of the Alphabet Soup
©1996-2017 Morrison & Foerster LLP. All rights reserved.