Broker-Dealer Regulation and Compliance
Holland & Knight's Broker-Dealer Regulation and Compliance Team has extensive experience counseling on the legal, regulatory and compliance implications of broker and dealer activities.
Our capabilities encompass the broad spectrum of matters involving the U.S. Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and other state and global regulations.
Cybersecurity, Data Breach and Privacy
International Financial Regulations
Labor, Employment and Benefits
Mergers and Acquisitions
Offshore Tax Compliance
Private Investment Funds
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