The LeGaye Law Firm P.C. - Financial Services Compliance, Houston, Texas
LeGaye Law Firm - Upcoming Security Compliance - Compliance Calendar

12/23/2014 - Net Capital Computation (Month ending 11/30/2014)
12/23/2014 - Monthly & Fifth' FOCUS IIA Filings (Month ending 11/30/2014)

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LeGaye Law Firm - Latest Legal Alerts

10/13/2014 - New Proposed AML Customer Due Diligence Requirements
8/21/2014 - Treasury Regulations Implemented to Address FATCA Impact Broker-Dealers and Investment Advisers
5/27/2014 - FINRA Backing Away From Reliance on Rule 8210 for Routine Information Requests

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LeGaye Law Firm - White Papers

4/28/2014 - FINRA Comment Letter - Regulatory Notice 14-09; Limited Corporate Finance Broker

4/10/2014 - NSCP Presentation on Cyber Security, Data Protection & Business Continuity
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

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2002 Timberloch Drive, Suite 200
The Woodlands, TX 77380

Tel: (281) 367-2454
Fax: (866) 338-6353
Email (click here)
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Regulatory and Compliance 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 regulatory and compliance advise and support 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, investment advisersand other corporate organization entities on a timely and cost-effective basis. The regulatory advice and compliance services provided focuses on assisting firms and managers in maintaining thier compliance with a multitude of regulatory requirements that they face on a regular basis.


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

 

 

Professional Resources

 

Securities Hot Topics

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
 

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