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.
