Chapters in Thomson Reuters Broker-Dealer Guide Co-Authored by LeGaye Law Firm

Thomson Reuters recently released an article based on its the newly updated “Practitioner’s Guide for Broker-Dealers,” a multi-chapter resource from Thomson Reuters Regulatory Intelligence. The guide provides up-to-date commentary on topics pertaining to broker-dealer regulatory issues and offers practitioner tips on dealing with these important issues on a day-to-day basis. Each chapter of the Broker-Dealer Guide was prepared and co-authored by industry experts who have tested their compliance advice in the marketplace.

The article was written by the staff of Thomson Reuters Regulatory Intelligence and was based upon the chapter on “Broker-Dealer Communications with the Public, Investors and FINRA”.  That chapter, along with the chapter on “Supervision” and “Senior Management Duties and Conflicts” was co-authored by Daniel LeGaye, a licensed Texas attorney and founding partner of The LeGaye, Law Firm P.C., Michael R. Schaps, Director of Regulatory Compliance for The LeGaye Law Firm and Deirdre Patten, CEO and Principal of Patten Training.

For the full text of the article on Broker-Dealer Communications with the Public,” click “Here”.  This article is reprinted with permission from Thomson Reuters where it appeared originally on the subscription site for compliance and risk professionals,

 For more information on Practitioner’s Guide for Broker-Dealers” or the risk management products provided by Thomson Reuters Accelus, go to