Worried That Your Next SEC Audit Will End in Fines? TAKE THE ASSESSMENT


Few financial firms are as heavily regulated as Broker-Dealers (BDs).  BDs fill important roles in the financial markets.

As brokers, you help facilitate trading for individual investors.  As dealers, you buy and sell investments for your own accounts, ensuring there is always a market for those securities.

While BDs promote the flow of securities on the open market and provide liquidity to ensure the continued success of securities markets, BDs are among the most heavily regulated financial institutions.  That’s where the broker-dealer services from My RIA Lawyer can help. We work with clients from all 50 states ensure they remain compliant with all applicable laws and regulations.

Most are regulated by:

These regulations cover various functions, including trading activity, anti-money laundering (AML) and anti-fraud, customer protection, and managing conflicts of interest. The result of all these different regulations is a spider’s web of requirements that BDs must adhere to strictly. Failure to comply can lead to substantial fines from regulators.

Whether you are a large investment firm or a smaller, independent practice, a full-service broker or a discount broker, our BD regulation and compliance practice advises leading financial market participants in multiple jurisdictions on a range of cutting-edge issues related to securities regulation, new products or services, capital markets, compliance, and enforcement. Give My RIA Lawyer a call to learn more about our broker-dealer services and how they can help your business thrive!

Not your daddy's law firm

How we're different

We take a no-nonsense approach to solving your problems. Forget about one-size-fits-all solutions; we roll up our sleeves and craft strategies that fit your financial business like a glove. We’re not just lawyers – we’re compliance partners, financial enthusiasts, and problem solvers.

We get it – you need answers, and you need them now. That’s where we come in, offering a blend of big-firm resources with the kind of personal attention you’d expect from a smaller one.

But what really sets us apart? We’re all about your success. Compliance is just the start; we’re here to help you thrive. We know the ins and outs of the financial world, and we’re not afraid to think outside the box to help you reach your goals while playing by the rules.

Doing Nothing, Changes Nothing.

SEC Risk Assessment Quiz

Trusted RIA Compliance Guidance

Four Reasons to Hire a Law Firm Instead of a Compliance Firm

and help them understand what it is they actually need to be asking for.

We are the answer to All Your Questions.

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My RIA Lawyer

“In life, it’s not that we don’t have enough time; it’s that we lose so much of it. We waste time on things that can be outsourced instead of spending time on things and people we love. I’d rather pay someone to clean my house and take that time to spend with my children. Our clients are happier letting us ‘clean house’ while they work with their clients. In the end, they have more satisfaction in their businesses and they’re happier overall.”

— Leila Shaver Founder

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