Trust Our Experience to Meet Your Needs
Sutherland’s Broker-Dealer Practice is one of the most dynamic and experienced in the country. Members of our team have held various positions with the Financial Industry Regulatory Authority (FINRA), the U.S. Department of Justice (DOJ) and the U.S. Securities and Exchange Commission (SEC), including its:
- Division of Trading and Markets
- Division of Corporation Finance
- Division of Enforcement
- Division of Investment Management
For decades, we have been an integral part of the broker-dealer community—several members of our team have served as in-house counsel in broker-dealer firms. Our work covers the full spectrum of legal, business and compliance challenges facing the industry. With an office in Washington, D.C., we are privy to legislation and rulemaking activities and often are invited to discuss issues with government agencies and self-regulatory organizations (SROs).
Many of our clients are large U.S. and foreign-owned financial services organizations encompassing banks, broker-dealers, investment advisers, insurance companies and transfer agents. We represent them in regulatory matters before the SEC, FINRA, the Municipal Securities Rulemaking Board, federal banking agencies, and state banking, insurance, and securities regulators.
Our strategy is simple: We work with clients to develop business-based solutions to meet compliance requirements and successfully manage regulatory inquiries, disciplinary and enforcement actions.
© 2012 Sutherland Asbill & Brennan LLP
