LexBlog

The highly regulated securities and financial industry has a host of complex problems. Financial institutions often find themselves on the receiving end of audits, investigations and other compliance issues.  The Securities Compliance Sentinel by Fox Rothschild gives those very financial institutions guidance on making sure they are in compliance with the proper laws.  The blog is authored by Ernest Badway, Joshua Horn and Amit Shah of the firm's Securities Industry Practice Group.

Blog topics include:

• Broker-Dealer Regulation
• CFTC Compliance
• CFTC Enforcement
• Compliance and Supervision
• FINRA Compliance
• FINRA Enforcement
• Federal and State Criminal Activities
• Hedge and Private Equity Funds
• Investment Adviser Regulation
• Public Customer Arbitrations
• Registered Representatives
• SEC Compliance
• SEC Enforcement
• Securities Class Actions

Fox Rothschild is a law firm built to serve business leaders. Clients go to Fox for guidance because their aptly-appointed attorneys understand their issues, their priorities, and the way they think.  Fox delivers a full range of legal services — from the traditional (Litigation, Corporate, Labor and Employment) to the emerging services (Intellectual Property and Tech and Venture Finance).  The firm has been around for over 100 years, and has more than 500 lawyers in 16 offices coast to coast.