NFA Regulatory Responses

Responses to inquiries from the NFA or other regulatory bodies must be prompt, carefully considered and accurate in addressing each issue or deficiency, particularly if allegations of a securities law violation are involved.  Our professionals have extensive experience in responding to those regulatory inquiries, including regulatory inquires related to cycle and sweep examinations, improper trade practices, and/or disclosure issues.

Ultimately, we work to understand our clients and know their business, which enables us to provide prompt, effective regulatory responses to regulatory inquiries and allegations, at both the state and federal levels.