Regulatory Compliance & Advisory Services

Established over four decades ago by a former Chief Attorney of the SEC’s Division of Enforcement, Gusrae Kaplan has cultivated a reputation as a go-to firm for the many complex regulatory issues facing financial services firms. Building on our founder’s legacy, we count among our ranks a former General Counsel of the New York Mercantile Exchange as well as former in-house counsel at NASD member broker-dealers. This foundation arms our lawyers with incomparable perspective and sophistication in their representation of broker-dealers, investment banks and other corporate and individual securities professionals transacting business in domestic and international capital markets.

Our attorneys possess a deep familiarity with the legal frameworks applicable to financial services firms including the Investment Advisers Act of 1940; the Securities Act of 1933; the Securities Exchange Act of 1934; and the Commodity Exchange Act. In addition, we understand the panoply of federal and state regulators and their complex requirements, from FINRA and the national securities exchanges, to the various self-regulatory organizations.

Our regulatory practice is comprehensive. We counsel investment firms and their professionals from formation to expansion, and if necessary, dissolution and every phase in between. Equally important, while many clients count on Gusrae Kaplan as advisors through the entire life cycle of business, we are able to tailor our offering to suit the project and the client at hand.