Securities Compliance Challenges?
We Navigate the Regulatory Maze.
SEC, FINRA, and state securities regulators demand rigorous compliance. Our attorneys help firms, advisers, and issuers meet their obligations and defend against enforcement actions.
Serving New York, New Jersey, Connecticut & Federal Matters Nationwide
24+
Years Experience
Multi-State
Jurisdiction
100%
Confidential
B2B
Business-Focused
Securities Compliance Services
How We Protect Your Firm
SEC Compliance Programs
Design, implement, and maintain compliance programs that satisfy SEC examination priorities and enforcement expectations.
FINRA Regulatory Defense
Defend against FINRA investigations, enforcement actions, arbitration claims, and licensing proceedings.
Broker-Dealer Registration
Navigate SEC and state registration requirements, membership applications, and ongoing reporting obligations for broker-dealers.
Investment Adviser Compliance
Build and audit compliance programs for RIAs, including Form ADV filings, custody rules, and fiduciary obligations.
Regulation D Offerings
Structure private placements under Rules 504, 506(b), and 506(c) with compliant offering documents and blue-sky filings.
Securities Litigation Defense
Defend firms, officers, and directors against SEC civil actions, shareholder suits, and class-action securities fraud claims.
Insider Trading Compliance
Develop trading policies, restricted-person lists, pre-clearance procedures, and 10b5-1 plan frameworks.
Form ADV & Disclosure Review
Prepare and review Form ADV Parts 1, 2A, 2B, and Form CRS to ensure accurate and compliant disclosures.
The Stakes Are Real
Why Securities Compliance Matters
SEC and FINRA enforcement has intensified. The cost of non-compliance now far exceeds the cost of getting it right.
760+
Enforcement Actions
SEC enforcement actions filed annually, resulting in billions in penalties and disgorgement orders.
$4.6B
Penalties Imposed
Record SEC monetary remedies in a single fiscal year, including civil penalties and disgorgement.
1,400+
FINRA Actions
FINRA disciplinary actions each year, including fines, suspensions, and permanent industry bars.
Figures reflect recent SEC and FINRA annual enforcement reports.
Getting Started
Three Steps to Regulatory Confidence
Call or Click
Reach us at (516) 750-0595 or submit an inquiry through our secure contact form. All communications are confidential.
Free Securities Compliance Review
We assess your firm's regulatory exposure, identify compliance gaps, and outline a clear strategy -- no obligation, no jargon.
We Protect Your Firm
From compliance program design to enforcement defense, we handle the regulatory burden so your team can focus on business.
Why Tenenbaum Law
Securities Counsel That Understands Your Business
Regulatory compliance is not a checkbox exercise. It requires counsel who understands both the letter of SEC and FINRA rules and the practical realities of running a financial services firm. With 24 years of practice, we bring that dual perspective to every engagement.
Multi-Jurisdictional Reach
Licensed in New York with experience handling federal SEC matters, FINRA proceedings, and multi-state securities compliance across the tri-state area.
Securities Industry Knowledge
Deep familiarity with broker-dealer operations, investment adviser workflows, and the compliance infrastructure regulators expect to see.
Enforcement Defense Experience
When regulators come knocking, you need counsel who has been through the process. We defend firms against SEC investigations, FINRA disciplinary proceedings, and state enforcement actions.
Strict Confidentiality
Regulatory matters demand discretion. Every consultation and engagement is protected by attorney-client privilege.
"Jason's team helped us build a compliance program that passed our first SEC examination with zero deficiency findings. Their understanding of how broker-dealers actually operate made all the difference."
Managing Director
Tri-State Broker-Dealer
Legal Landscape
Securities Regulatory Framework We Navigate
The securities regulatory environment spans federal statutes, SRO rules, and state enforcement powers. We advise on all of them.
Securities Act of 1933
Registration requirements for public offerings, prospectus rules, and exemptions including Regulation A/A+ mini-IPOs.
Securities Exchange Act of 1934
Periodic reporting obligations, proxy rules, insider trading prohibitions under Section 10(b) and Rule 10b-5.
Investment Advisers Act of 1940
Registration, fiduciary duties, advertising rules, custody requirements, and compliance program mandates for RIAs.
FINRA Rules & Arbitration
Supervisory obligations, suitability/Reg BI, communications rules, and the mandatory arbitration framework for industry disputes.
Regulation D (Private Placements)
Rules 504, 506(b), and 506(c) exemptions for private securities offerings, accredited investor verification, and Form D filings.
Regulation A/A+ (Mini-IPOs)
Tier 1 and Tier 2 offering frameworks allowing smaller issuers to raise capital from the public with scaled disclosure requirements.
NY Martin Act
New York's uniquely powerful state securities fraud statute that does not require proof of intent or reliance.
Dodd-Frank Whistleblower Provisions
SEC whistleblower bounty program, anti-retaliation protections, and implications for internal compliance programs.
Related compliance services: Corporate Compliance · AML Compliance · Privacy & Data Protection
Securities Compliance FAQ
Questions Firms Ask Us
What triggers an SEC investigation of a firm?
How do I know if my firm needs to register as an investment adviser?
What is a Regulation D offering and when is it appropriate?
What penalties does the SEC impose for compliance failures?
Does our firm need a written compliance program?
What should we do if we receive a FINRA arbitration claim?
How does the NY Martin Act affect securities compliance?
What is a 10b5-1 trading plan and does our firm need one?
About the Author
Jason Tenenbaum
Jason Tenenbaum is a personal injury attorney serving Long Island, Nassau & Suffolk Counties, and New York City. Admitted to practice in NY, NJ, FL, TX, GA, MI, and Federal courts, Jason is one of the few attorneys who writes his own appeals and tries his own cases. Since 2002, he has authored over 2,353 articles on no-fault insurance law, personal injury, and employment law — a resource other attorneys rely on to stay current on New York appellate decisions.
Protect Your Firm Before It's Too Late
SEC Investigations Don't Wait. Your Compliance Program Shouldn't Either.
Regulatory exposure compounds over time. Every day without a defensible compliance program is a day your firm operates at risk. Let us close the gaps before regulators find them.
All consultations are confidential. Available for firms in New York, New Jersey, Connecticut & federal matters nationwide.
About Our Legal Practice
The Law Office of Jason Tenenbaum, P.C. has been representing injured individuals and workers throughout Long Island and New York City since 2002. Attorney Jason Tenenbaum founded the firm, which is headquartered at 326 Walt Whitman Road, Suite C, Huntington Station, New York 11746. Together, the firm's six attorneys bring over 112 combined years of legal experience to personal injury, employment discrimination, no-fault insurance, and workers' compensation cases. The team speaks English, Spanish, Italian, Japanese, and Russian.
Attorney Tenenbaum has written more than 1,000 appellate briefs, handled over 100,000 no-fault insurance cases, and recovered over $100 million in verdicts and settlements. He is admitted to practice in New York, New Jersey, Florida, Texas, Georgia, and Michigan state courts, as well as multiple federal courts. His 2,353+ published legal articles analyzing New York case law make him one of the most prolific legal commentators in the state. In fact, attorneys, judges, and insurance professionals across all four Appellate Division departments rely on his analysis.
The firm operates on a contingency fee basis for personal injury and employment discrimination cases — you pay no attorney fees unless we recover compensation on your behalf. Every consultation is free and confidential. Our practice areas include car accidents, truck accidents, motorcycle accidents, pedestrian accidents, bicycle accidents, slip and fall injuries, premises liability, medical malpractice, and product liability. We also handle dog bites, construction accidents, wrongful death, employment discrimination, wrongful termination, workplace harassment, wage and hour violations, no-fault insurance disputes, and workers' compensation claims. Call (516) 750-0595 for a free consultation.