SEC Compliance Services
SEC Attorney | SEC Lawyer | Securities Fraud Lawyer
Don't let compliance catch you off guard. Work with an experienced SEC attorney and securities fraud lawyer with extensive experience in SEC Compliance.
About The SEC
The U.S. Securities and Exchange Commission
What Is the SEC?
The U.S. Securities and Exchange Commission (SEC) is the chief federal regulator for financial markets.
Established in 1934, its mission is to protect investors, maintain fair and efficient markets, and ensure transparency in capital markets.
Every company raising capital, managing investments, or offering securities must comply with SEC rules, regulations and compliance requirements — whether directly or indirectly involved with public markets.
Failure to meet SEC obligations can lead to severe consequences, including fines, enforcement actions, reputational harm, and investor lawsuits.
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What Is the SEC?
SEC compliance means ensuring your business fully follows all federal securities laws and regulations. This includes proper registration, disclosure, reporting, recordkeeping, cybersecurity protocols, and staying prepared for examinations or investigations. Key areas of SEC compliance involve:
- Financial Reporting (Forms 10-K, 10-Q, 8-K, proxy statements)
- Internal Controls (Sarbanes–Oxley Act compliance, audit protocols)
- Cybersecurity Disclosures (new cybersecurity incident reporting rules)
- Ongoing Examinations (SEC, FINRA, and state audits)
- Recordkeeping & Disclosure Accuracy
Whether you are an investment advisor, fund manager, fintech firm, or public company, robust SEC compliance is critical to sustaining investor trust and protecting your organization from costly penalties.
Why Work with a FinTech Law SEC Attorney?
While many firms offer compliance assistance, only an experienced SEC lawyer can provide full legal protection and strategic guidance across every phase of your compliance journey.
Key Advantages
- Attorney–Client Privilege: Protects confidential discussions — a critical distinction from consultants or non-legal service providers.
- Legal Interpretation of Complex Rules: Navigates evolving regulations, including SEC enforcement trends, whistleblower rules, and cybersecurity mandates.
- Crisis Management: Strategically handles enforcement investigations, Wells notices, and regulatory disputes.
- Proactive Defense: Identifies and mitigates risks long before potential violations escalate.
Working with a specialized FinTech Law SEC attorney ensures you’re protected both during standard filings and under investigation.
FinTech Law + Joot: A Complete SEC Compliance Solution
At FinTech Law, we combine decades of securities law experience with the advanced compliance technology of our partner Joot. This partnership gives our clients a powerful advantage — personalized legal counsel backed by automated tools that simplify complex compliance processes.
With our integrated approach, we help clients:
- Build fully customized compliance programs.
- Automate reminders, workflows, and filing preparation.
- Streamline ongoing examinations and audits.
- Maintain accurate recordkeeping aligned with SEC standards.
- Provide legal defense if regulatory issues arise.
Whether you're launching a new RIA, managing a hedge fund, overseeing a fintech platform, or preparing for an SEC exam, our legal team ensures your compliance framework remains solid, efficient, and legally sound.
FinTech Law
SEC Compliance Services
SEC Registration & Reporting
We assist businesses through every step of SEC registration, reporting, and disclosure obligations:
- SEC Form Filings: 10-K, 10-Q, 8-K, Schedule 13D, proxy filings
- Sarbanes-Oxley compliance for internal controls and financial reporting
- Form ADV filings for investment advisers
- Ongoing annual and quarterly disclosures
SEC Examinations & Audits
Preparation is key for SEC, FINRA, and state regulator audits. We offer:
- Pre-exam readiness assessments
- Mock exams and staff training
- Document preparation and audit support
- Real-time legal counsel during regulator interactions
Enforcement Defense & Crisis Management
If regulatory issues arise, our attorneys provide:
- Representation in SEC investigations and Wells notice proceedings
- Negotiation with regulators
- Remediation planning
- Reputation management strategies
Cybersecurity & Data Compliance
The SEC now requires companies to disclose material cybersecurity incidents. We help:
- Draft incident response plans
- Ensure proper cyber risk disclosures
- Prepare board-level reporting protocols
- Review vendor and third-party cybersecurity frameworks
Who Needs SEC Compliance Services?
Our SEC attorneys serve:
- Registered Investment Advisers (RIAs)
- Hedge Funds & Private Equity Funds
- Broker-Dealers
- Public Companies
- FinTech & RegTech Platforms
- Blockchain & Cryptocurrency Projects
- International Funds (Cayman, Offshore Jurisdictions)
- FinTech Startups
- Financial Startups
Frequently Asked Questions
- Is compliance consulting the same as hiring an SEC attorney?
No. Only a licensed SEC attorney provides legal advice protected by attorney-client privilege. Consultants offer guidance but cannot represent you in legal disputes or investigations. - Do you handle global clients?
Yes. We regularly assist international clients, including foreign investment funds and offshore RIA structures. - What makes FinTech Law different?
Our firm uniquely combines boutique legal expertise with cutting-edge technological tools to provide an efficient, fully integrated SEC compliance solution tailored to your business.
FinTech SEC Lawyer
The Risks of Poor SEC Compliance
SEC Penalties
Expensive Enforcement Penalties
The SEC can impose substantial civil fines and disgorgements for violations.
Investor Lawsuits
Investor Lawsuits & Trust Loss
Non-compliance invites investor lawsuits, causing reputational and financial harm.
Criminal Investigations
Criminal Investigations for Fraud
Serious breaches may trigger DOJ or SEC criminal fraud prosecutions.
Reputational Damage
Irreversible Reputational Damage
Public enforcement drastically undermines brand and investor confidence.
Licensing Issues
License Revocation or Suspension
Regulators can suspend registrations or bar firms from operating.
Investor Rescission Rights
Investor Rescission Rights
Investors can demand returns of funds plus interest.
Future Investment Barriers
Future Investment Barriers
Compliance failures deter future fundraising and partnerships.
Costly Investigations
Lengthy, Costly Investigations
SEC probes can extend years, draining resources.
Connect with us today
It's time to stop playing compliance catch-up. FinTech Law and our partners at Joot can help you navigate the murky waters of SEC Compliance.
Don't wait. Give our team a call today.
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