11/22/2011 - Update on FINRA Financial Rules
10/07/2011 - FINRA Re-Clarifies Investment Banker Qualifications
9/01/2011 - FINRA Implements the Operations Professional Designation
6/23/2010 - IA Registration and Regulatory Issues
5/10/2010 - Dual Registration and FINRA Supervision
Proposed SEC Rules
Recently Enacted SEC Rules
Investment Advisers Act Notices
and Orders
Current FINRA Notice to Members
Current FINRA Rule Filings
FINRA Disciplinary Actions
2002 Timberloch Drive, Suite 200
The Woodlands, Texas 77380
Tel: (281) 367-2454
Fax: (866) 338-6353
Email (click here)
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Counsel to the Financial Services Industry
The LeGaye Law Firm, P.C., brings depth of knowledge and experience gained from years of hands-on experience in providing legal counsel and coordination of compliance services to the financial services industry. Located in Houston, Texas, the firm’s expertise is targeted to answer and respond to the complex legal and practical questions and challenges facing broker-dealers (BD), investment advisers (IA), and corporate organization entities on a timely and cost-effective basis. The legal advice and compliance services provided assists firms and managers in maintaining compliance with a multitude of regulatory requirements.
Practice Areas
Broker-Dealer Counsel
- Risk Assessments & Testing
Compliance Programs - Anti-Money Laundering Compliance
- Written Policies, Procedures
& Internal Controls - Financial Industry Contracts
- Client Disclosure Documentation
- Responses to Regulatory Inquiries
- Financial and Operational Services
- Distribution and Structuring
- Ongoing Industry Services
Investment Adviser Counsel
- Investment Adviser Registration
- Mock Regulatory Exams & Risk
Assessments - Response to Regulatory Inquiries
- Investment Advisory Contracts and Agreements
- Written Policies, Procedures
& Internal Controls - Client Disclosure Documents
- Other Investment Advisory Services
Corporate Organization Counsel
Business Law
Daniel LeGaye has been involved actively in Corporate, Securities and Business Law since 1980. Daniel has successfully represented both individuals and businesses and guided them in a wide variety of commercial transactions, corporate structuring and regulatory compliance issues. Mr. LeGaye's primary career focus...Business Law.
Legal Updates
Please check out all of our recent legal updates. View Legal Update Archive
