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
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.
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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