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Waldstein Law | Regulatory Insight
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WELCOME TO WALDSTEIN LAW

Financial Industry Legal and Compliance Insights

OUR IDEALS

WHAT WE DO

Waldstein Law provides insight and guidance on new financial regulations.

Industry regulation is constantly changing, we help you understand what’s important.

SEC Regulations

Registered Investment Company disclosure requirements, Investment Adviser reporting, Beneficial Ownership reporting, Form ADV, and Code of Ethics requirments.

FINRA Rules

Arbitration hearings, reporting obligations, regulatory filings, and compliance exams

Commodities Futures Trade Commission

Swap execution, record keeping requirments, and customer risk disclosures under the Commodity Exchange Act

National Futures Association

NFA Rules governing registration, sales practices, and promotional material.

Federal Reserve Board Regulation

Compliance and exemptions from registration for banks and covered funds under Dodd-Frank and other regs.

FINCEN Regulations

Anti-money laundering and customer due diligence under the Bank Secrecy Act and Foreign Corrupt Practices Act.