Securities & Regulatory Compliance

The financial industry operates under a heavy load of federal and state regulations. These rules aim to stamp out fraud, insider trading, and misrepresentation before they can take hold. Firms in this space—think investment houses, broker-dealers, and trading platforms—can’t afford to treat compliance as an afterthought. The stakes are high: slip up, and penalties, lawsuits, or a battered reputation could follow. At The Law Office of Jason Tenenbaum, P.C., seasoned securities and financial compliance attorneys step up to help clients stay ahead of the game. They bring practical know-how to the table, guiding businesses through the regulatory thicket with a steady hand.

Crafting Policies That Stick with SEC and FINRA Standards

Broker-dealers and investment advisors face a barrage of expectations from the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA). These aren’t fluffy suggestions—regulators enforce them with teeth. The attorneys at The Law Office of Jason Tenenbaum, P.C. dive in to build compliance policies that hold water. They take a close look at how each client operates and shape guidelines that satisfy SEC and FINRA without choking the business with red tape. It’s a hands-on process that delivers clear, workable solutions instead of cookie-cutter fixes.

Meeting the Demands of Dodd-Frank and Sarbanes-Oxley

The Dodd-Frank Act and Sarbanes-Oxley (SOX) throw some serious weight around. Born from the ashes of the 2008 financial meltdown, Dodd-Frank tightens the screws on oversight to keep markets steady. SOX zeroes in on accountability, insisting on airtight financial reporting and solid internal controls. For public companies and financial firms, these laws can feel like a mountain to climb. The team at The Law Office of Jason Tenenbaum, P.C. breaks it down into manageable pieces. They map out steps that keep clients compliant without letting paperwork bog them down—a lifeline for businesses aiming to stay clean and keep moving.

Setting Up Private Equity and Hedge Funds for Success

Private equity firms and hedge funds live in a fast-moving world where the rules can twist depending on the deal or the market’s mood. Compliance needs to bend without breaking, matching regulatory demands to the pace of high-stakes investing. The attorneys here get it. They design programs that tackle fraud prevention, investor transparency, and trading limits while leaving room for agility. Years of experience shape their approach, giving clients a setup that protects without slowing them down. It’s a balance that keeps growth in sight and risks under control.

Digging Deep with Investigations and Regulatory Answers

Regulators don’t always send a friendly heads-up before they knock. Whether it’s a routine check or a deeper probe, questions can come fast. The attorneys at The Law Office of Jason Tenenbaum, P.C. jump into action, running internal investigations to figure out what’s what. They sift through the details and pinpoint any cracks before regulators do. When it’s time to respond, they deliver answers that cut to the chase—sharp, thorough, and aimed at settling the matter quickly. The goal? Keep the business on solid ground, no matter what’s thrown its way.

Standing Up to Enforcement Actions

When the SEC, Commodity Futures Trading Commission (CFTC), or FINRA drop an enforcement hammer, things get real fast. These agencies mean business, and their actions can bring fines, restrictions, or worse. The firm’s attorneys don’t back down. They mount a tough defense, challenging accusations and guarding clients’ interests with grit. Experience fuels their strategy—knowing the playbook helps them push back effectively. It’s less about flashy wins and more about carving out a path that keeps the firm alive and kicking.

Covering the Bases: Audits to Litigation

Compliance isn’t a one-and-done deal—it’s a constant pulse. The team runs internal audits to catch weak spots early, staying a step ahead of regulators. If trouble escalates to securities litigation, they’re ready to fight, drawing on a deep well of know-how. For financial institutions, investment firms, and trading platforms, The Law Office of Jason Tenenbaum, P.C. offers a full toolkit. They help clients stick to legal boundaries, shielding the business and its investors from the fallout of a tightly watched industry. It’s steady support that turns a regulatory burden into a manageable part of doing business.