5/30/2013 - SIPC Assessments (Year ending October 31, 2012) SIPC 6
6/30/2013 - SIPC Assessments (Year ending November 30, 2012) SIPC 6
Show Compliance Calendar
9/03/2012 - FINRA Rules Governing Communications With the Public Undergo Major Reorganization
6/25/2012 - ERISA Section 408(b)(2) Fee Disclosures Due 6/30/2012
5/15/2012 - FINRA Rule 4524 Increases Reporting Obligations For Member Firms
9/7/2012 - SEC Comment Letter - JOBS Act - Crowdfunding
8/31/2012 - FINRA Comment Letter on Regulatory notice 12-34 Crowdfunding
6/23/2010 - IA Registration and Regulatory Issues
2002 Timberloch Drive, Suite 200
The Woodlands, TX 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
- Risk Assessments
- Anti-Money Laundering
- Written Policies
- Financial Industry Contracts
- Client Disclosure Documents
- Regulatory Inquiries
- Financial Services
- Distribution and Structuring
- Ongoing Industry Services
- RIA Registration
- Risk Assessments
- Regulatory Inquiries
- Other Services
- Contracts and Agreements
- Written Policies
- Client Disclosure Documents
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.
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