Securities Regulation and Compliance

The last decade has seen an increased focus and attention to regulation and compliance in the securities industry, especially in light of the recent scandals that have plagued the industry. Winget, Spadafora & Schwartzberg has a deep and comprehensive understanding of the financial markets and regulatory landscape that enables it to effectively represent clients in regulatory matters, as well as counsel them in an effort to avoid such problems.

We have vast experience representing broker-dealers, registered representatives and other financial services professionals before the regulatory divisions of the Securities and Exchange Commission (“SEC”), the Financial Industry Regulatory Authority (“FINRA”), the Certified Financial Planning Board and various state securities bureaus.

Our experience is varied and includes defending enforcement proceedings, representing clients in connection with On-The-Record (“OTR”) examinations, preparing “Wells” submissions, negotiating Acceptance, Waiver & Consent (“AWC”) agreements, responding to 8210 requests and preparing MC-400 applications for statutorily disqualified individuals.

We also advise clients on internal policies and procedures designed to minimize the risk of customer disputes and regulatory investigations, including: formulating and implementing policies and procedures; writing and updating supervisory and compliance manuals; designing internal documents; and assisting with regulatory filings. We also advise clients with inter-company and industry agreements and disputes.