Best Financial Services Regulation Lawyers in United States

Share your needs with us, get contacted by law firms.

Free. Takes 2 min.

Or refine your search by selecting a city:

Davies & Associates, LLC
New York, United States

Founded in 2020
100 people in their team
Afrikaans
Arabic
Bengali
Chinese
Danish
English
French
German
Hebrew (modern)
Hindi
Italian
Kannada
Panjabi
Shona
Spanish
Swahili
Tamil
Turkish
Ukrainian
Vietnamese
Welsh
Xhosa
Davies & Associates ("D&A") has grown to become the largest global law firm specializing in US, UK and Italian business and investment immigration together with Citizenship and Residency by Investment (together, “CBI”).  Our lawyers are regarded as the leaders in the US E2...
View profile
Rana Ijaz & Associates
Atlanta, United States

Founded in 1967
5 people in their team
English
Rana Ijaz & Associates is a legal advisory & corporate consultancy office based in Pakistan, having its head office in Lahore since 1967.We are deeply committed to the individuals and corporations’ we work for and represent. RI provides dedicated legal consultancy services.  We have...
View profile
Icaza, Gonzalez - Ruiz & Aleman (IGRA)
Panama City, United States

Founded in 1920
500 people in their team
Spanish
English
Icaza, González-Ruiz & Alemán merges tradition and vision to provide practical legal solutions, delivering outstanding results to corporate and private clients worldwide.Since its inception in 1920, its experts have been involved in some of the most pivotal milestones in Panama's legal...
Capes, Sokol, Goodman & Sarachan, P.C.
St Louis, United States

Founded in 2001
84 people in their team
English
At Capes Sokol, we strive to find the best solutions to our clients’ legal problems and to turn even complex challenges into opportunities.That’s why each member of our St. Louis-based team is committed to looking at every issue from multiple angles. We bring teamwork and collaboration across...
Perkins Coie LLP
Anchorage, United States

Founded in 1912
2,875 people in their team
English
Perkins Coie is a leading international law firm that is known for providing high value, strategic solutions and extraordinary client service on matters vital to our clients' success. With more than 1,200 attorneys in offices across the United States and Asia, we provide a full array of corporate,...
Morgan & Morgan
Panama City, United States

Founded in 1923
1,000 people in their team
Spanish
English
Our law firmWith 100 years of successful trajectory, Morgan & Morgan is a full-service Panamanian law firm, regularly assisting local and multinational corporations from different industries, as well as recognized financial institutions, government agencies, and individual clients.We support...
John D Wheeler & Associates
Alamogordo, United States

Founded in 2002
50 people in their team
Spanish
English
John D. Wheeler & Associates is a full-service, boutique law firm located in the historic desert community of Alamogordo, New Mexico. Established in 2002, our firm of six attorneys is the largest in our area, and together with our skilled support staff, our attorneys offer a broad range of...
Pierce Atwood LLP
Augusta, United States

Founded in 1891
298 people in their team
English
Pierce Atwood LLP is a highly-regarded full-service law firm based in New England, recognized nationally and internationally for its expertise in complex and class action litigation, energy production and distribution, midmarket mergers and acquisitions, information security and technology,...
BakerHostetler attorneys
Los Angeles, United States

Founded in 1916
5,000 people in their team
English
Established in 1916, BakerHostetler is one of the largest law firms in the U.S., with more than 1,000 lawyers and 18 offices across the country. We handle clients’ most critical legal matters - securing advantageous outcomes amid regulatory scrutiny and bet-the-company litigation; closing deals...

Founded in 1988
65 people in their team
English
Our GoalOur goal has always been to offer quality legal services in a timely manner at an affordable price. By attracting exceptional law school graduates and accomplished lateral hires, we have enhanced the scope of our legal services to include nearly every area of law. Over the years, we have...
AS SEEN ON

Browse financial services regulation law firms by city in United States

Refine your search by selecting a city.

About Financial Services Regulation Law in United States

Financial Services Regulation in the United States involves a complex landscape of laws and policies that govern the banking, securities, and insurance sectors. It is designed to maintain the integrity of the financial system, protect consumers, and ensure the stability of the economy. Key regulatory bodies include the Federal Reserve, the U.S. Securities and Exchange Commission (SEC), and the Consumer Financial Protection Bureau (CFPB), among others. These bodies oversee various aspects of financial transactions, compliance, risk assessment, and consumer protection.

Why You May Need a Lawyer

Individuals and organizations may require legal assistance in the field of Financial Services Regulation for numerous reasons. Common situations include compliance with governmental regulations, facing enforcement actions, understanding complex financial transactions, mergers and acquisitions, handling consumer protection issues, and dealing with securities fraud or misrepresentation. A lawyer specialized in this field can provide guidance, assist with documentation, represent clients in negotiations or litigations, and ensure adherence to applicable laws and regulations.

Local Laws Overview

Financial Services Regulation in the United States is primarily governed by federal law, but there are important state regulations and oversight that must also be considered. Key federal laws include the Dodd-Frank Wall Street Reform and Consumer Protection Act, the Bank Holding Company Act, and the Securities Exchange Act. State laws may further regulate issues such as usury, credit practices, and state-chartered financial institutions. Compliance with both federal and state regulations is crucial for anyone involved in the financial services industry.

Frequently Asked Questions

What are the main regulatory bodies overseeing financial services in the U.S.?

The main regulatory bodies include the Federal Reserve, the SEC, the CFPB, the Office of the Comptroller of the Currency (OCC), and the Federal Deposit Insurance Corporation (FDIC).

What is the purpose of the Dodd-Frank Act?

The Dodd-Frank Act was enacted to promote financial stability by increasing transparency, protecting consumers, and preventing the collapse of major financial institutions.

How does the SEC regulate financial markets?

The SEC regulates financial markets by enforcing securities laws to ensure market stability, prevent fraud, and protect investors.

What is the role of the CFPB in financial regulation?

The CFPB is responsible for enforcing federal consumer protection laws and ensuring that consumers are treated fairly by financial institutions.

Are there specific regulations for fintech companies?

Yes, fintech companies must comply with both traditional financial regulations and specific guidelines that address innovative financial products and services.

How can I determine if a financial advisor is regulated?

You can verify the registration and regulatory compliance of a financial advisor by checking resources such as the SEC’s Investment Adviser Public Disclosure database.

What steps should I take if I suspect securities fraud?

If you suspect securities fraud, you should report it to the SEC or consult with a lawyer who specializes in securities law.

How are banking regulations enforced?

Banking regulations are enforced through examinations, compliance monitoring, and, when necessary, penalties for non-compliance by agencies like the OCC and the Federal Reserve.

What does "insider trading" mean?

Insider trading refers to buying or selling a security while in possession of material, nonpublic information that would influence an investor’s decision.

How are consumer financial protection laws applied?

Consumer financial protection laws are applied by regulating disclosures, prohibiting unfair practices, and establishing standards for financial transactions to protect consumers.

Additional Resources

For those seeking further information or assistance, consider reaching out to the following resources:

  • The U.S. Securities and Exchange Commission (SEC)
  • The Consumer Financial Protection Bureau (CFPB)
  • American Bar Association (ABA) for lawyer referrals and resources
  • National Association of Insurance Commissioners (NAIC)
  • Financial Industry Regulatory Authority (FINRA)

Next Steps

If you need legal assistance in Financial Services Regulation, consider the following steps:

  • Identify your specific legal needs, such as compliance, litigation, or regulatory advice.
  • Consult with a legal professional or firm specializing in Financial Services Regulation.
  • Gather all relevant documents and information that may be needed for legal consultations.
  • Consider reaching out to professional organizations or legal aid services for guidance and support.
  • Stay informed about updates in laws and regulations that may affect your situation.
Lawzana helps you find the best lawyers and law firms in United States through a curated and pre-screened list of qualified legal professionals. Our platform offers rankings and detailed profiles of attorneys and law firms, allowing you to compare based on practice areas, including Financial Services Regulation, experience, and client feedback. Each profile includes a description of the firm's areas of practice, client reviews, team members and partners, year of establishment, spoken languages, office locations, contact information, social media presence, and any published articles or resources. Most firms on our platform speak English and are experienced in both local and international legal matters. Get a quote from top-rated law firms in United States - quickly, securely, and without unnecessary hassle.

Disclaimer:
The information provided on this page is for general informational purposes only and does not constitute legal advice. While we strive to ensure the accuracy and relevance of the content, legal information may change over time, and interpretations of the law can vary. You should always consult with a qualified legal professional for advice specific to your situation. We disclaim all liability for actions taken or not taken based on the content of this page. If you believe any information is incorrect or outdated, please contact us, and we will review and update it where appropriate.