{"id":90029,"date":"2025-08-02T17:10:41","date_gmt":"2025-08-02T22:10:41","guid":{"rendered":"https:\/\/www.mcguirewoods.com\/?post_type=practice&#038;p=90029"},"modified":"2025-10-13T13:46:52","modified_gmt":"2025-10-13T18:46:52","slug":"broker-dealer-compliance-regulatory-counseling","status":"publish","type":"practice","link":"https:\/\/www.mcguirewoods.com\/services\/practices\/securities-enforcement\/broker-dealer-compliance-regulatory-counseling\/","title":{"rendered":"Broker-Dealer Compliance &amp; Regulatory Counseling"},"content":{"rendered":"<style>.kb-row-layout-wrap.wp-block-kadence-rowlayout.kb-row-layout-id90029_275ad1-bf{margin-top:-80px;}.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;grid-template-columns:minmax(0, calc(64.3% - ((var(--global-kb-gap-md, 2rem) * 1 )\/2)))minmax(0, calc(35.7% - ((var(--global-kb-gap-md, 2rem) * 1 )\/2)));}.kb-row-layout-id90029_275ad1-bf{--breakout-negative-margin-right:calc( ( ( ( var(--global-vw, 100vw) - ( var(--wp--style--global--content-size) - ( 0px*2 ) ) ) \/ 2 ) *-1) + -1px);--breakout-negative-margin-left:calc( ( ( ( var(--global-vw, 100vw) - ( var(--wp--style--global--content-size) - ( 0px*2 ) ) ) \/ 2 ) *-1) + -1px);}.kb-row-layout-id90029_275ad1-bf{background-color:#003b5c;}.kb-row-layout-id90029_275ad1-bf > .kt-row-layout-overlay{opacity:0.30;}.kb-row-layout-id90029_275ad1-bf{z-index:1;position:relative;}@media all and (min-width: 1025px){.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(2 of *:not(style)){margin-inline-end:calc( 0px *-1 );margin-inline-end:var(--breakout-negative-margin-right);}}@media all and (max-width: 1024px){.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap{row-gap:var(--global-kb-gap-none, 0rem );grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 1024px){.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(1 of *:not(style)){order:2;}}@media all and (max-width: 1024px){.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(2 of *:not(style)){order:1;}}@media all and (max-width: 1024px){.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(3 of *:not(style)){order:12;}}@media all and (max-width: 1024px){.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(4 of *:not(style)){order:11;}}@media all and (max-width: 1024px){.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(5 of *:not(style)){order:22;}}@media all and (max-width: 1024px){.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(6 of *:not(style)){order:21;}}@media all and (max-width: 1024px){.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(7 of *:not(style)){order:32;}}@media all and (max-width: 1024px){.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(8 of *:not(style)){order:31;}}@media all and (min-width: 768px) and (max-width: 1024px){.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap:not(.kt-tab-layout-row) > .wp-block-kadence-column:nth-child(2 of *:not(style)){margin-inline-end:calc( 0px *-1 );}}@media all and (max-width: 767px){.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(1 of *:not(style)){order:2;}.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(2 of *:not(style)){order:1;}.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(3 of *:not(style)){order:12;}.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(4 of *:not(style)){order:11;}.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(5 of *:not(style)){order:22;}.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(6 of *:not(style)){order:21;}.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(7 of *:not(style)){order:32;}.kb-row-layout-id90029_275ad1-bf > .kt-row-column-wrap > .wp-block-kadence-column:nth-child(8 of *:not(style)){order:31;}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90029_275ad1-bf alignfull kt-row-has-bg gradient-bottom-border service-hero-section wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-2-columns kt-row-layout-equal kt-tab-layout-row kt-mobile-layout-row kt-row-valign-top kt-inner-column-height-full kb-theme-content-width\">\n<style>.kadence-column90029_837ee9-d6 > .kt-inside-inner-col{display:flex;}.kadence-column90029_837ee9-d6 > .kt-inside-inner-col{padding-top:8rem;padding-bottom:2.5rem;}.kadence-column90029_837ee9-d6 > .kt-inside-inner-col,.kadence-column90029_837ee9-d6 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90029_837ee9-d6 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90029_837ee9-d6 > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}.kadence-column90029_837ee9-d6 > .kt-inside-inner-col > .aligncenter{width:100%;}.kt-row-column-wrap > .kadence-column90029_837ee9-d6{align-self:flex-end;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90029_837ee9-d6{align-self:auto;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90029_837ee9-d6 > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}.kadence-column90029_837ee9-d6 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90029_837ee9-d6, .kadence-column90029_837ee9-d6 h1, .kadence-column90029_837ee9-d6 h2, .kadence-column90029_837ee9-d6 h3, .kadence-column90029_837ee9-d6 h4, .kadence-column90029_837ee9-d6 h5, .kadence-column90029_837ee9-d6 h6{color:#ffffff;}.kadence-column90029_837ee9-d6{position:relative;}.kadence-column90029_837ee9-d6, .kt-inside-inner-col > .kadence-column90029_837ee9-d6:not(.specificity){margin-top:80px;}@media all and (max-width: 1024px){.kadence-column90029_837ee9-d6 > .kt-inside-inner-col{padding-top:3.8rem;padding-right:2rem;padding-left:2rem;flex-direction:column;justify-content:flex-end;}}@media all and (max-width: 1024px){.kt-row-column-wrap > .kadence-column90029_837ee9-d6{align-self:flex-end;}}@media all and (max-width: 1024px){.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90029_837ee9-d6{align-self:auto;}}@media all and (max-width: 1024px){.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90029_837ee9-d6 > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}}@media all and (max-width: 767px){.kadence-column90029_837ee9-d6 > .kt-inside-inner-col{padding-top:2.5rem;padding-right:1.1rem;padding-left:1.1rem;flex-direction:column;justify-content:flex-end;}.kt-row-column-wrap > .kadence-column90029_837ee9-d6{align-self:flex-end;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90029_837ee9-d6{align-self:auto;}.kt-inner-column-height-full:not(.kt-has-1-columns) > .wp-block-kadence-column.kadence-column90029_837ee9-d6 > .kt-inside-inner-col{flex-direction:column;justify-content:flex-end;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90029_837ee9-d6\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90029_879597-cc, .wp-block-kadence-advancedheading.kt-adv-heading90029_879597-cc[data-kb-block=\"kb-adv-heading90029_879597-cc\"]{margin-bottom:32px;font-size:3rem;line-height:1.2;font-weight:500;font-style:normal;font-family:Inter;}.wp-block-kadence-advancedheading.kt-adv-heading90029_879597-cc mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90029_879597-cc[data-kb-block=\"kb-adv-heading90029_879597-cc\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90029_879597-cc img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90029_879597-cc[data-kb-block=\"kb-adv-heading90029_879597-cc\"] img.kb-inline-image{width:150px;vertical-align:baseline;}@media all and (max-width: 767px){.wp-block-kadence-advancedheading.kt-adv-heading90029_879597-cc, .wp-block-kadence-advancedheading.kt-adv-heading90029_879597-cc[data-kb-block=\"kb-adv-heading90029_879597-cc\"]{font-size:2.5rem;}}<\/style>\n<h1 class=\"kt-adv-heading90029_879597-cc wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90029_879597-cc\">Broker-Dealer Compliance &amp; Regulatory Counseling<\/h1>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90029_e12776-6b, .wp-block-kadence-advancedheading.kt-adv-heading90029_e12776-6b[data-kb-block=\"kb-adv-heading90029_e12776-6b\"]{font-size:1.25rem;font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading90029_e12776-6b mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90029_e12776-6b[data-kb-block=\"kb-adv-heading90029_e12776-6b\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90029_e12776-6b img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90029_e12776-6b[data-kb-block=\"kb-adv-heading90029_e12776-6b\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90029_e12776-6b wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90029_e12776-6b\">McGuireWoods\u2019 experienced broker-dealer compliance and regulatory counseling team represent broker-dealers, investment advisers, municipal advisors, private equity and hedge funds, banks, and issuers in examinations, informal and formal investigations, and litigation initiated by the SEC, DOJ, FINRA, other SROs, state securities regulators, attorneys general and administrators in areas such as sales practices, supervision and compliance issues, anti-money laundering (AML) compliance, cybersecurity, municipal securities underwriting, sales and trading, and the marketing and sale of complex securities products.<\/p>\n\n\n<style>.wp-block-kadence-advancedbtn.kt-btns90029_c1ec60-05, .site .entry-content .wp-block-kadence-advancedbtn.kt-btns90029_c1ec60-05, .wp-block-kadence-advancedbtn.kb-btns90029_c1ec60-05, .site .entry-content .wp-block-kadence-advancedbtn.kb-btns90029_c1ec60-05{margin-top:40px;}.wp-block-kadence-advancedbtn.kb-btns90029_c1ec60-05{gap:var(--global-kb-gap-xs, 0.5rem );justify-content:flex-start;align-items:center;}.kt-btns90029_c1ec60-05 .kt-button{font-weight:normal;font-style:normal;}.kt-btns90029_c1ec60-05 .kt-btn-wrap-0{margin-right:5px;}.wp-block-kadence-advancedbtn.kt-btns90029_c1ec60-05 .kt-btn-wrap-0 .kt-button{color:#555555;border-color:#555555;}.wp-block-kadence-advancedbtn.kt-btns90029_c1ec60-05 .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90029_c1ec60-05 .kt-btn-wrap-0 .kt-button:focus{color:#ffffff;border-color:#444444;}.wp-block-kadence-advancedbtn.kt-btns90029_c1ec60-05 .kt-btn-wrap-0 .kt-button::before{display:none;}.wp-block-kadence-advancedbtn.kt-btns90029_c1ec60-05 .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90029_c1ec60-05 .kt-btn-wrap-0 .kt-button:focus{background:#444444;}<\/style>\n<div class=\"wp-block-kadence-advancedbtn kb-buttons-wrap kb-btns90029_c1ec60-05\"><style>ul.menu .wp-block-kadence-advancedbtn .kb-btn90029_1dd6a4-a9.kb-button{width:initial;}.wp-block-kadence-advancedbtn .kb-btn90029_1dd6a4-a9.kb-button{color:#003a5d;background:#ffffff;font-size:1.25rem;line-height:1.45;text-transform:uppercase;border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;padding-top:12px;padding-right:32px;padding-bottom:12px;padding-left:32px;}.wp-block-kadence-advancedbtn .kb-btn90029_1dd6a4-a9.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90029_1dd6a4-a9.kb-button:focus{color:#ffffff;background:rgba(0,0,0,0);border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn90029_1dd6a4-a9.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn90029_1dd6a4-a9.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90029_1dd6a4-a9.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}@media all and (max-width: 767px){.wp-block-kadence-advancedbtn .kb-btn90029_1dd6a4-a9.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}.wp-block-kadence-advancedbtn .kb-btn90029_1dd6a4-a9.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90029_1dd6a4-a9.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}<\/style><a class=\"kb-button kt-button button kb-btn90029_1dd6a4-a9 kt-btn-size-standard kt-btn-width-type-auto kb-btn-global-inherit  kt-btn-has-text-true kt-btn-has-svg-false  wp-block-button__link read-more-trigger wp-block-kadence-singlebtn\" href=\"#\" role=\"button\"><span class=\"kt-btn-inner-text\">Read More<\/span><\/a><\/div>\n<\/div><\/div>\n\n\n<style>.kadence-column90029_b45865-40 > .kt-inside-inner-col{display:flex;}.kadence-column90029_b45865-40 > .kt-inside-inner-col,.kadence-column90029_b45865-40 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90029_b45865-40 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90029_b45865-40 > .kt-inside-inner-col{flex-direction:column;align-items:flex-end;}.kadence-column90029_b45865-40 > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column90029_b45865-40 > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column90029_b45865-40 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90029_b45865-40 > .kt-inside-inner-col{background-image:url('https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/Services_Banner_Securities_Enforcement__Regulatory_Enforcement-new.jpg');background-size:cover;background-position:50% 50%;background-attachment:scroll;background-repeat:no-repeat;}.kadence-column90029_b45865-40 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90029_b45865-40{position:relative;}.kadence-column90029_b45865-40, .kt-inside-inner-col > .kadence-column90029_b45865-40:not(.specificity){margin-right:0px;}@media all and (max-width: 1024px){.kadence-column90029_b45865-40 > .kt-inside-inner-col{min-height:500px;flex-direction:column;justify-content:center;align-items:flex-end;}}@media all and (max-width: 767px){.kadence-column90029_b45865-40 > .kt-inside-inner-col{min-height:300px;flex-direction:column;justify-content:center;align-items:flex-end;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90029_b45865-40 hide-on-print\"><div class=\"kt-inside-inner-col\"><\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id90029_98d0ce-4e > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90029_98d0ce-4e > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90029_98d0ce-4e > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:43px;padding-right:0px;padding-bottom:20px;padding-left:30px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90029_98d0ce-4e > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90029_98d0ce-4e > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90029_98d0ce-4e > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90029_98d0ce-4e alignfull gradient-bottom-border read-more-content wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column90029_c24fc8-67 > .kt-inside-inner-col,.kadence-column90029_c24fc8-67 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90029_c24fc8-67 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90029_c24fc8-67 > .kt-inside-inner-col{flex-direction:column;}.kadence-column90029_c24fc8-67 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90029_c24fc8-67 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90029_c24fc8-67{position:relative;}@media all and (max-width: 1024px){.kadence-column90029_c24fc8-67 > .kt-inside-inner-col{padding-right:32px;padding-left:32px;flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90029_c24fc8-67 > .kt-inside-inner-col{padding-right:20px;padding-left:20px;flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90029_c24fc8-67\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90029_6c6032-ce, .wp-block-kadence-advancedheading.kt-adv-heading90029_6c6032-ce[data-kb-block=\"kb-adv-heading90029_6c6032-ce\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90029_6c6032-ce mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90029_6c6032-ce[data-kb-block=\"kb-adv-heading90029_6c6032-ce\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90029_6c6032-ce img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90029_6c6032-ce[data-kb-block=\"kb-adv-heading90029_6c6032-ce\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90029_6c6032-ce wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90029_6c6032-ce\">The team helps clients establish, update, tailor and implement compliance and supervisory programs that address a range of issues including broker-dealer status, sales practices and fiduciary duties; digital advice and other engagement practices; custody; operations; research, sales and trading; AML; data security and privacy; and many others. We also work with clients to address the various regulatory and compliance issues that arise when launching new products and services.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90029_3d872a-d0, .wp-block-kadence-advancedheading.kt-adv-heading90029_3d872a-d0[data-kb-block=\"kb-adv-heading90029_3d872a-d0\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90029_3d872a-d0 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90029_3d872a-d0[data-kb-block=\"kb-adv-heading90029_3d872a-d0\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90029_3d872a-d0 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90029_3d872a-d0[data-kb-block=\"kb-adv-heading90029_3d872a-d0\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90029_3d872a-d0 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90029_3d872a-d0\">We assist clients in forming, acquiring and combining firms, including SEC broker-dealer registration and FINRA membership. We help clients by developing advocacy strategies around changes to federal and state securities laws; and responding to examinations by the SEC, FINRA, other SROs, and state securities regulators and attorneys general. We also counsel clients in connection with regulatory self-reporting initiatives and help them navigate the regulatory nuances of self-reporting, disclosure and the statutory disqualification process.<\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90029_1fc0e0-79, .wp-block-kadence-advancedheading.kt-adv-heading90029_1fc0e0-79[data-kb-block=\"kb-adv-heading90029_1fc0e0-79\"]{margin-bottom:30px;font-size:1.25rem;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90029_1fc0e0-79 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90029_1fc0e0-79[data-kb-block=\"kb-adv-heading90029_1fc0e0-79\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90029_1fc0e0-79 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90029_1fc0e0-79[data-kb-block=\"kb-adv-heading90029_1fc0e0-79\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90029_1fc0e0-79 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90029_1fc0e0-79\">Our attorneys stay apprised of proposed and newly adopted laws, rules and interpretations to help ensure that clients comply with their regulatory obligations. We conduct mock exams and audits, advise clients on establishing and strengthening compliance and supervisory programs, and provide training to clients\u2019 employees.<\/p>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-wrap.wp-block-kadence-rowlayout.kb-row-layout-id90029_ed1ffb-78{margin-top:13px;}.kb-row-layout-id90029_ed1ffb-78 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90029_ed1ffb-78 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90029_ed1ffb-78 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:80px;padding-right:0px;padding-bottom:80px;padding-left:0px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90029_ed1ffb-78{background-color:#bbd5ec;background-image:url('https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/background-vector.svg');background-size:auto;background-position:0% 100%;background-attachment:scroll;background-repeat:no-repeat;}.kb-row-layout-id90029_ed1ffb-78 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90029_ed1ffb-78 > .kt-row-column-wrap{padding-right:32px;padding-left:32px;grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90029_ed1ffb-78 > .kt-row-column-wrap{padding-top:40px;padding-right:20px;padding-bottom:40px;padding-left:20px;grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90029_ed1ffb-78 alignfull kt-row-has-bg wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column90029_f7ca19-a8 > .kt-inside-inner-col,.kadence-column90029_f7ca19-a8 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90029_f7ca19-a8 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90029_f7ca19-a8 > .kt-inside-inner-col{flex-direction:column;}.kadence-column90029_f7ca19-a8 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90029_f7ca19-a8 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90029_f7ca19-a8{position:relative;}@media all and (max-width: 1024px){.kadence-column90029_f7ca19-a8 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90029_f7ca19-a8 > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90029_f7ca19-a8\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90029_3698f0-00, .wp-block-kadence-advancedheading.kt-adv-heading90029_3698f0-00[data-kb-block=\"kb-adv-heading90029_3698f0-00\"]{max-width:1150px;margin-right:auto;margin-left:auto;text-align:center;font-size:2rem;line-height:1.2;font-style:normal;color:#003b5c;}.wp-block-kadence-advancedheading.kt-adv-heading90029_3698f0-00 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90029_3698f0-00[data-kb-block=\"kb-adv-heading90029_3698f0-00\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90029_3698f0-00 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90029_3698f0-00[data-kb-block=\"kb-adv-heading90029_3698f0-00\"] img.kb-inline-image{width:150px;vertical-align:baseline;}@media all and (max-width: 1024px){.wp-block-kadence-advancedheading.kt-adv-heading90029_3698f0-00, .wp-block-kadence-advancedheading.kt-adv-heading90029_3698f0-00[data-kb-block=\"kb-adv-heading90029_3698f0-00\"]{font-size:2rem;}}@media all and (max-width: 767px){.wp-block-kadence-advancedheading.kt-adv-heading90029_3698f0-00, .wp-block-kadence-advancedheading.kt-adv-heading90029_3698f0-00[data-kb-block=\"kb-adv-heading90029_3698f0-00\"]{font-size:1.5rem;}}<\/style>\n<p class=\"kt-adv-heading90029_3698f0-00 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90029_3698f0-00\">The McGuireWoods broker-dealer compliance and regulatory counseling team includes attorneys with deep and varying regulatory backgrounds (including positions with the SEC\u2019s Divisions of Enforcement and Trading and Markets, and FIRA\u2019s Enforcement Department and Market Regulation Enforcement team, and former senior in-house counsel, as well as prominent federal prosecutors) that enable them to counsel clients on the full spectrum of regulatory, business and compliance issues, industry developments and market trends.<\/p>\n<\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id90029_e8900b-cf > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90029_e8900b-cf > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90029_e8900b-cf > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90029_e8900b-cf{border-left:60px solid #ac3207;}.kb-row-layout-id90029_e8900b-cf > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90029_e8900b-cf > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 1024px){.kb-row-layout-id90029_e8900b-cf{border-left:60px solid #ac3207;}}@media all and (max-width: 767px){.kb-row-layout-id90029_e8900b-cf > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90029_e8900b-cf{border-left:30px solid #ac3207;}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90029_e8900b-cf alignfull wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top\">\n<style>.kadence-column90029_9ff521-2f > .kt-inside-inner-col{padding-bottom:62px;}.kadence-column90029_9ff521-2f > .kt-inside-inner-col,.kadence-column90029_9ff521-2f > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90029_9ff521-2f > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90029_9ff521-2f > .kt-inside-inner-col{flex-direction:column;}.kadence-column90029_9ff521-2f > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90029_9ff521-2f > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90029_9ff521-2f{position:relative;}@media all and (max-width: 1024px){.kadence-column90029_9ff521-2f > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}@media all and (max-width: 767px){.kadence-column90029_9ff521-2f > .kt-inside-inner-col{flex-direction:column;justify-content:center;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90029_9ff521-2f animated-testimonial\"><div class=\"kt-inside-inner-col\"><style>.kb-advanced-slider-90029_4d0bb1-79{--kb-adv-slider-gap:30px;}.kb-advanced-slider-90029_4d0bb1-79 .splide__arrow{font-size:60px;}.kb-advanced-slider-90029_4d0bb1-79 .kb-slider-size-fixed .kb-advanced-slide-inner-wrap{min-height:330px;}.kb-advanced-slider-90029_4d0bb1-79 .kb-advanced-slide-inner-wrap{padding-top:63px;}.kb-advanced-slider-90029_4d0bb1-79 .splide .splide__arrow, .kb-advanced-slider-90029_4d0bb1-79 .kb-slider-pause-button{color:#ee690c;}.kb-advanced-slider-90029_4d0bb1-79 .splide .splide__arrow:hover, .kb-advanced-slider-90029_4d0bb1-79 .kb-slider-pause-button:hover{color:#ee690c;}.kb-advanced-slider-90029_4d0bb1-79 .splide .splide__arrow:active, .kb-advanced-slider-90029_4d0bb1-79 .kb-slider-pause-button:active{color:#ee690c;}.kb-advanced-slider-90029_4d0bb1-79 .splide .splide__arrow, .kb-advanced-slider-90029_4d0bb1-79 .kb-slider-pause-button{background-color:rgba(0,0,0,0);}.kb-advanced-slider-90029_4d0bb1-79 .splide .splide__arrow:hover, .kb-advanced-slider-90029_4d0bb1-79 .kb-slider-pause-button:hover{background-color:rgba(0,0,0,0);}.kb-advanced-slider-90029_4d0bb1-79 .splide .splide__arrow:active, .kb-advanced-slider-90029_4d0bb1-79 .kb-slider-pause-button:active{background-color:rgba(0,0,0,0);}.kb-advanced-slider-90029_4d0bb1-79 .splide__pagination__page{opacity:1;}.kb-advanced-slider-90029_4d0bb1-79 .splide__pagination__page{background-color:#949494;}.kb-advanced-slider-90029_4d0bb1-79 .splide__pagination__page:hover{background-color:#949494;}.kb-advanced-slider-90029_4d0bb1-79 .splide__pagination__page.is-active{background-color:#ee690c;}.kb-advanced-slider-90029_4d0bb1-79 .splide__pagination__page{border-color:#ffffff;}.kb-advanced-slider-90029_4d0bb1-79 .splide__pagination__page:hover{border-color:#ffffff;}.kb-advanced-slider-90029_4d0bb1-79 .splide__pagination__page.is-active{border-color:#ffffff;}.kb-advanced-slider-90029_4d0bb1-79 .splide__pagination__page{border-width:2px;border-style:solid;}<\/style><div class=\"kb-advanced-slider kb-advanced-slider-90029_4d0bb1-79 services-testimonial-slider wp-block-kadence-slider\"><div class=\"kb-advanced-slider-inner-contain kb-adv-slider-html-version-2\"><div class=\"kb-blocks-advanced-carousel kt-blocks-carousel kt-carousel-container-dotstyle-custom\"><div class=\"kb-blocks-advanced-slider-init kb-slider-loading kb-blocks-slider kt-carousel-arrowstyle-custom kt-carousel-dotstyle-custom kb-slider-size-fixed kb-slider-type-slider kb-slider-ratio-12-5 kb-slider-group-arrow kb-slider-arrow-position-center kb-slider-tab-ratio-inherit kb-slider-mobile-ratio-inherit splide kb-splide  kb-slider-version-2\" aria-label=\"Slider content\" data-slider-center-mode=\"true\" data-slider-type=\"slider\" data-loop-type=\"loop\" data-columns-xxl=\"3\" data-columns-xl=\"3\" data-columns-md=\"3\" data-columns-sm=\"2\" data-columns-xs=\"1\" data-columns-ss=\"1\" data-slider-anim-speed=\"400\" data-slider-scroll=\"1\" data-slider-fade=\"false\" data-slider-arrows=\"true\" data-slider-dots=\"true\" data-slider-hover-pause=\"false\" data-slider-auto=\"false\"  data-dragging=\"true\" data-slider-speed=\"7000\" data-slider-gap=\"30\" data-slider-gap-tablet=\"30\" data-slider-gap-mobile=\"30\" data-slider-gap-unit=\"px\"><div class=\"splide__track\"><ul class=\"splide__list\">\n\n<li class=\"wp-block-kadence-slide kb-advanced-slide-item kb-slide-90029_313bbb-d6\"><div class=\"kb-advanced-slide\"><div class=\"kb-advanced-slide-inner-wrap\"><div class=\"kb-advanced-slide-inner\"><style>.wp-block-kadence-image.kb-image90029_4306cb-f8:not(.kb-specificity-added):not(.kb-extra-specificity-added){margin-bottom:40px;}.kb-image90029_4306cb-f8.kb-image-is-ratio-size, .kb-image90029_4306cb-f8 .kb-image-is-ratio-size{max-width:86px;width:100%;}.wp-block-kadence-column > .kt-inside-inner-col > .kb-image90029_4306cb-f8.kb-image-is-ratio-size, .wp-block-kadence-column > .kt-inside-inner-col > .kb-image90029_4306cb-f8 .kb-image-is-ratio-size{align-self:unset;}.kb-image90029_4306cb-f8 figure{max-width:86px;}.kb-image90029_4306cb-f8 .image-is-svg, .kb-image90029_4306cb-f8 .image-is-svg img{width:100%;}.kb-image90029_4306cb-f8 .kb-image-has-overlay:after{opacity:0.3;}<\/style>\n<div class=\"wp-block-kadence-image kb-image90029_4306cb-f8 hide-on-print\"><figure class=\"aligncenter size-large image-is-svg\"><img decoding=\"async\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/08\/testimonial-quote-ic.svg\" alt class=\"kb-img wp-image-90118\"><\/figure><\/div>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90029_c1098c-e8, .wp-block-kadence-advancedheading.kt-adv-heading90029_c1098c-e8[data-kb-block=\"kb-adv-heading90029_c1098c-e8\"]{max-width:1000px;margin-right:auto;margin-left:auto;margin-bottom:32px;text-align:center;font-size:2.5rem;line-height:1.2;font-style:normal;color:#1d3557;}.wp-block-kadence-advancedheading.kt-adv-heading90029_c1098c-e8 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90029_c1098c-e8[data-kb-block=\"kb-adv-heading90029_c1098c-e8\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90029_c1098c-e8 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90029_c1098c-e8[data-kb-block=\"kb-adv-heading90029_c1098c-e8\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90029_c1098c-e8 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90029_c1098c-e8\"><strong>Nationally ranked in financial services regulation for broker dealer compliance and enforcement.<\/strong><\/p>\n\n\n<style>.wp-block-kadence-advancedheading.kt-adv-heading90029_4f2ac9-55, .wp-block-kadence-advancedheading.kt-adv-heading90029_4f2ac9-55[data-kb-block=\"kb-adv-heading90029_4f2ac9-55\"]{font-size:1.125rem;font-weight:600;font-style:normal;font-family:Inter;color:#1d3557;}.wp-block-kadence-advancedheading.kt-adv-heading90029_4f2ac9-55 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90029_4f2ac9-55[data-kb-block=\"kb-adv-heading90029_4f2ac9-55\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90029_4f2ac9-55 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90029_4f2ac9-55[data-kb-block=\"kb-adv-heading90029_4f2ac9-55\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<p class=\"kt-adv-heading90029_4f2ac9-55 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90029_4f2ac9-55\">\u2013 Chambers USA<\/p>\n<\/div><\/div><\/div><\/li>\n\n<\/ul><\/div><\/div><\/div><\/div><\/div><\/div><\/div>\n\n<\/div><\/div>\n\n<style>.kb-row-layout-id90029_45726d-d7 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90029_45726d-d7 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90029_45726d-d7 > .kt-row-column-wrap{column-gap:var(--global-kb-gap-md, 2rem);row-gap:var(--global-kb-gap-md, 2rem);max-width:var(--wp--style--global--content-size);padding-top:64px;padding-bottom:64px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90029_45726d-d7 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90029_45726d-d7 > .kt-row-column-wrap{padding-right:32px;padding-left:32px;grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90029_45726d-d7 > .kt-row-column-wrap{padding-top:40px;padding-right:20px;padding-bottom:40px;padding-left:20px;grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90029_45726d-d7 alignfull wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top kb-theme-content-width\">\n<style>.kadence-column90029_812095-c1 > .kt-inside-inner-col{display:flex;}.kadence-column90029_812095-c1 > .kt-inside-inner-col,.kadence-column90029_812095-c1 > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90029_812095-c1 > .kt-inside-inner-col{column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90029_812095-c1 > .kt-inside-inner-col{flex-direction:column;align-items:flex-start;}.kadence-column90029_812095-c1 > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column90029_812095-c1 > .kt-inside-inner-col > .wp-block-kadence-advancedgallery{align-self:stretch;}.kadence-column90029_812095-c1 > .kt-inside-inner-col > .aligncenter{width:100%;}.kadence-column90029_812095-c1 > .kt-inside-inner-col:before{opacity:0.3;}.kadence-column90029_812095-c1{position:relative;}@media all and (max-width: 1024px){.kadence-column90029_812095-c1 > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}@media all and (max-width: 767px){.kadence-column90029_812095-c1 > .kt-inside-inner-col{flex-direction:column;justify-content:center;align-items:flex-start;}}<\/style>\n<div class=\"wp-block-kadence-column kadence-column90029_812095-c1\"><div class=\"kt-inside-inner-col\"><style>.wp-block-kadence-advancedheading.kt-adv-heading90029_764a1f-d4, .wp-block-kadence-advancedheading.kt-adv-heading90029_764a1f-d4[data-kb-block=\"kb-adv-heading90029_764a1f-d4\"]{margin-bottom:50px;font-size:3rem;font-weight:bold;font-style:normal;}.wp-block-kadence-advancedheading.kt-adv-heading90029_764a1f-d4 mark.kt-highlight, .wp-block-kadence-advancedheading.kt-adv-heading90029_764a1f-d4[data-kb-block=\"kb-adv-heading90029_764a1f-d4\"] mark.kt-highlight{font-style:normal;color:#f76a0c;-webkit-box-decoration-break:clone;box-decoration-break:clone;padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;}.wp-block-kadence-advancedheading.kt-adv-heading90029_764a1f-d4 img.kb-inline-image, .wp-block-kadence-advancedheading.kt-adv-heading90029_764a1f-d4[data-kb-block=\"kb-adv-heading90029_764a1f-d4\"] img.kb-inline-image{width:150px;vertical-align:baseline;}<\/style>\n<h2 class=\"kt-adv-heading90029_764a1f-d4 wp-block-kadence-advancedheading\" data-kb-block=\"kb-adv-heading90029_764a1f-d4\">Senior Contacts<\/h2>\n\n\n<div style=\"padding-top:var(--wp--preset--spacing--10);padding-bottom:var(--wp--preset--spacing--20);\" class=\"wp-block-mgw-people-content-selector\" data-layout=\"featured-grid\"><div class=\"wp-block-mgw-people-content-selector__grid grid-posts grid-posts__2\">\n<article class=\"wp-block-mgw-people-card grid-card c-card c-card-people post-1346 people type-people status-publish hentry practice_tax-financial-services-litigation practice_tax-securities-enforcement practice_tax-ponzi-scheme-litigation practice_tax-broker-dealer-compliance-regulatory-counseling practice_tax-investment-advisory-compliance-regulatory-counseling practice_tax-wealth-management-compliance-enforcement\">\n\n\t\t\t<div class=\"c-card-people__profile-img\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/h\/cheryl-l-haas\/\" aria-label=\"Cheryl L. Haas\" tabindex=\"-1\">\n\t\t\t\t<img loading=\"lazy\" decoding=\"async\" width=\"300\" height=\"300\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/haas_cheryl-05fb912b-0d99-47ef-a1b7-2fbdcadc8be3-300x300.jpg\" class=\"attachment-medium size-medium\" alt=\"\" srcset=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/haas_cheryl-05fb912b-0d99-47ef-a1b7-2fbdcadc8be3-300x300.jpg 300w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/haas_cheryl-05fb912b-0d99-47ef-a1b7-2fbdcadc8be3-150x150.jpg 150w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/haas_cheryl-05fb912b-0d99-47ef-a1b7-2fbdcadc8be3-500x500.jpg 500w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/haas_cheryl-05fb912b-0d99-47ef-a1b7-2fbdcadc8be3.jpg 600w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>\t\t\t<\/a>\n\t\t<\/div>\n\t\n\t<div class=\"c-card-people__content exc-org\">\n\t\t<h3 class=\"c-card__title\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/h\/cheryl-l-haas\/\">\n\t\t\t\tCheryl L. Haas\t\t\t<\/a>\n\t\t<\/h3>\n\n\t\t\t\t\t<p class=\"c-card-people__role\">\n\t\t\t\tPartner\t\t\t<\/p>\n\t\t\n\t\t\t<\/div>\n\n\t\n\t\t<div class=\"c-card-people__buttons\">\n\n\t\t\t\t\t\t\t<button type=\"button\" class=\"c-card-people__button js-people-email-button\" data-email=\"chaas@mcguirewoods.com\" aria-label=\"Email Cheryl L. Haas\">\n\t\t\t\t\t<i class=\"icon icon-email\"><\/i>\n\t\t\t\t<\/button>\n\t\t\t\n\t\t\t<a href=\"?vcard=1346&amp;nonce=7d1c8d4a38\" class=\"c-card-people__button\" aria-label=\"Download Cheryl L. Haas vCard\">\n\t\t\t\t<i class=\"icon icon-card-profile\"><\/i>\n\t\t\t<\/a>\n\t\t<\/div>\n\n\t\n\t\n\t\t<div class=\"print-only\">\n\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"tel:+1-404-443-5726\" aria-label=\"Call Cheryl L. Haas\">\n\t\t\t\t\t\tT: +1 404 443 5726\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"mailto:chaas@mcguirewoods.com\" aria-label=\"Email Cheryl L. Haas\">\n\t\t\t\t\t\tchaas@mcguirewoods.com\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\n\t\n<\/article>\n\n<article class=\"wp-block-mgw-people-card grid-card c-card c-card-people post-1078 people type-people status-publish hentry practice_tax-wealth-management-compliance-enforcement practice_tax-trading-markets-compliance-enforcement practice_tax-investment-advisory-compliance-regulatory-counseling practice_tax-broker-dealer-compliance-regulatory-counseling practice_tax-private-equity-transactions practice_tax-securities-enforcement\">\n\n\t\t\t<div class=\"c-card-people__profile-img\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/a\/john-v-ayanian\/\" aria-label=\"John V. Ayanian\" tabindex=\"-1\">\n\t\t\t\t<img loading=\"lazy\" decoding=\"async\" width=\"300\" height=\"300\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-300x300.jpg\" class=\"attachment-medium size-medium\" alt=\"\" srcset=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-300x300.jpg 300w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-150x150.jpg 150w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12-500x500.jpg 500w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/06\/ayanian-john-81123403-4734-4f82-aa1b-608d14a18c12.jpg 600w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>\t\t\t<\/a>\n\t\t<\/div>\n\t\n\t<div class=\"c-card-people__content exc-org\">\n\t\t<h3 class=\"c-card__title\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/a\/john-v-ayanian\/\">\n\t\t\t\tJohn V. Ayanian\t\t\t<\/a>\n\t\t<\/h3>\n\n\t\t\t\t\t<p class=\"c-card-people__role\">\n\t\t\t\tPartner\t\t\t<\/p>\n\t\t\n\t\t\t<\/div>\n\n\t\n\t\t<div class=\"c-card-people__buttons\">\n\n\t\t\t\t\t\t\t<button type=\"button\" class=\"c-card-people__button js-people-email-button\" data-email=\"jayanian@mcguirewoods.com\" aria-label=\"Email John V. Ayanian\">\n\t\t\t\t\t<i class=\"icon icon-email\"><\/i>\n\t\t\t\t<\/button>\n\t\t\t\n\t\t\t<a href=\"?vcard=1078&amp;nonce=7d1c8d4a38\" class=\"c-card-people__button\" aria-label=\"Download John V. Ayanian vCard\">\n\t\t\t\t<i class=\"icon icon-card-profile\"><\/i>\n\t\t\t<\/a>\n\t\t<\/div>\n\n\t\n\t\n\t\t<div class=\"print-only\">\n\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"tel:+1-202-857-2428\" aria-label=\"Call John V. Ayanian\">\n\t\t\t\t\t\tT: +1 202 857 2428\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"mailto:jayanian@mcguirewoods.com\" aria-label=\"Email John V. Ayanian\">\n\t\t\t\t\t\tjayanian@mcguirewoods.com\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\n\t\n<\/article>\n\n<article class=\"wp-block-mgw-people-card grid-card c-card c-card-people post-50887 people type-people status-publish hentry practice_tax-securities-enforcement practice_tax-broker-dealer-compliance-regulatory-counseling practice_tax-trading-markets-compliance-enforcement practice_tax-wealth-management-compliance-enforcement\">\n\n\t\t\t<div class=\"c-card-people__profile-img\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/b\/todd-m-beaton\/\" aria-label=\"Todd M. Beaton, Jr.\" tabindex=\"-1\">\n\t\t\t\t<img loading=\"lazy\" decoding=\"async\" width=\"300\" height=\"300\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/09\/beaton-todd-df329a23-6574-46bb-b83f-a6a79e843b51-300x300.jpg\" class=\"attachment-medium size-medium\" alt=\"\" srcset=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/09\/beaton-todd-df329a23-6574-46bb-b83f-a6a79e843b51-300x300.jpg 300w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/09\/beaton-todd-df329a23-6574-46bb-b83f-a6a79e843b51-150x150.jpg 150w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/09\/beaton-todd-df329a23-6574-46bb-b83f-a6a79e843b51-500x500.jpg 500w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2023\/09\/beaton-todd-df329a23-6574-46bb-b83f-a6a79e843b51.jpg 600w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>\t\t\t<\/a>\n\t\t<\/div>\n\t\n\t<div class=\"c-card-people__content exc-org\">\n\t\t<h3 class=\"c-card__title\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/b\/todd-m-beaton\/\">\n\t\t\t\tTodd M. Beaton, Jr.\t\t\t<\/a>\n\t\t<\/h3>\n\n\t\t\t\t\t<p class=\"c-card-people__role\">\n\t\t\t\tPartner\t\t\t<\/p>\n\t\t\n\t\t\t<\/div>\n\n\t\n\t\t<div class=\"c-card-people__buttons\">\n\n\t\t\t\t\t\t\t<button type=\"button\" class=\"c-card-people__button js-people-email-button\" data-email=\"tbeaton@mcguirewoods.com\" aria-label=\"Email Todd M. Beaton, Jr.\">\n\t\t\t\t\t<i class=\"icon icon-email\"><\/i>\n\t\t\t\t<\/button>\n\t\t\t\n\t\t\t<a href=\"?vcard=50887&amp;nonce=7d1c8d4a38\" class=\"c-card-people__button\" aria-label=\"Download Todd M. Beaton, Jr. vCard\">\n\t\t\t\t<i class=\"icon icon-card-profile\"><\/i>\n\t\t\t<\/a>\n\t\t<\/div>\n\n\t\n\t\n\t\t<div class=\"print-only\">\n\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"tel:+1-212-548-2166\" aria-label=\"Call Todd M. Beaton, Jr.\">\n\t\t\t\t\t\tT: +1 212 548 2166\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"mailto:tbeaton@mcguirewoods.com\" aria-label=\"Email Todd M. Beaton, Jr.\">\n\t\t\t\t\t\ttbeaton@mcguirewoods.com\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\n\t\n<\/article>\n\n<article class=\"wp-block-mgw-people-card grid-card c-card c-card-people post-589 people type-people status-publish hentry practice_tax-bsa-aml-counseling-defense practice_tax-securities-enforcement practice_tax-state-ag-investigations practice_tax-government-investigations-white-collar-litigation practice_tax-banking-regulation-enforcement practice_tax-anti-corruption practice_tax-public-company-advisory practice_tax-crisis-management-incident-response practice_tax-broker-dealer-compliance-regulatory-counseling practice_tax-trading-markets-compliance-enforcement practice_tax-wealth-management-compliance-enforcement practice_tax-fintech\">\n\n\t\t\t<div class=\"c-card-people__profile-img\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/h\/elizabeth-j-hogan\/\" aria-label=\"Elizabeth J. Hogan\" tabindex=\"-1\">\n\t\t\t\t<img loading=\"lazy\" decoding=\"async\" width=\"300\" height=\"300\" src=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie-300x300.jpg\" class=\"attachment-medium size-medium\" alt=\"Elizabeth Hogan\" srcset=\"https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie-300x300.jpg 300w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie-150x150.jpg 150w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie-500x500.jpg 500w, https:\/\/www.mcguirewoods.com\/wp-content\/uploads\/sites\/2\/2025\/09\/hogan-lizzie.jpg 600w\" sizes=\"auto, (max-width: 300px) 100vw, 300px\" \/>\t\t\t<\/a>\n\t\t<\/div>\n\t\n\t<div class=\"c-card-people__content exc-org\">\n\t\t<h3 class=\"c-card__title\">\n\t\t\t<a href=\"https:\/\/www.mcguirewoods.com\/people\/h\/elizabeth-j-hogan\/\">\n\t\t\t\tElizabeth J. Hogan\t\t\t<\/a>\n\t\t<\/h3>\n\n\t\t\t\t\t<p class=\"c-card-people__role\">\n\t\t\t\tPartner\t\t\t<\/p>\n\t\t\n\t\t\t<\/div>\n\n\t\n\t\t<div class=\"c-card-people__buttons\">\n\n\t\t\t\t\t\t\t<button type=\"button\" class=\"c-card-people__button js-people-email-button\" data-email=\"ehogan@mcguirewoods.com\" aria-label=\"Email Elizabeth J. Hogan\">\n\t\t\t\t\t<i class=\"icon icon-email\"><\/i>\n\t\t\t\t<\/button>\n\t\t\t\n\t\t\t<a href=\"?vcard=589&amp;nonce=7d1c8d4a38\" class=\"c-card-people__button\" aria-label=\"Download Elizabeth J. Hogan vCard\">\n\t\t\t\t<i class=\"icon icon-card-profile\"><\/i>\n\t\t\t<\/a>\n\t\t<\/div>\n\n\t\n\t\n\t\t<div class=\"print-only\">\n\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"tel:+1-202-828-2818\" aria-label=\"Call Elizabeth J. Hogan\">\n\t\t\t\t\t\tT: +1 202 828 2818\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t\t\t\t\t\t<div>\n\t\t\t\t\t<a href=\"mailto:ehogan@mcguirewoods.com\" aria-label=\"Email Elizabeth J. Hogan\">\n\t\t\t\t\t\tehogan@mcguirewoods.com\t\t\t\t\t<\/a>\n\t\t\t\t<\/div>\n\t\t\t\n\t\t<\/div>\n\n\t\n<\/article>\n<\/div><\/div>\n\n<style>.wp-block-kadence-advancedbtn.kt-btns90029_069da8-cd, .site .entry-content .wp-block-kadence-advancedbtn.kt-btns90029_069da8-cd, .wp-block-kadence-advancedbtn.kb-btns90029_069da8-cd, .site .entry-content .wp-block-kadence-advancedbtn.kb-btns90029_069da8-cd{margin-top:65px;}.wp-block-kadence-advancedbtn.kb-btns90029_069da8-cd{gap:var(--global-kb-gap-xs, 0.5rem );justify-content:center;align-items:center;}.kt-btns90029_069da8-cd .kt-button{font-weight:normal;font-style:normal;}.kt-btns90029_069da8-cd .kt-btn-wrap-0{margin-right:5px;}.wp-block-kadence-advancedbtn.kt-btns90029_069da8-cd .kt-btn-wrap-0 .kt-button{color:#555555;border-color:#555555;}.wp-block-kadence-advancedbtn.kt-btns90029_069da8-cd .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90029_069da8-cd .kt-btn-wrap-0 .kt-button:focus{color:#ffffff;border-color:#444444;}.wp-block-kadence-advancedbtn.kt-btns90029_069da8-cd .kt-btn-wrap-0 .kt-button::before{display:none;}.wp-block-kadence-advancedbtn.kt-btns90029_069da8-cd .kt-btn-wrap-0 .kt-button:hover, .wp-block-kadence-advancedbtn.kt-btns90029_069da8-cd .kt-btn-wrap-0 .kt-button:focus{background:#444444;}<\/style>\n<div class=\"wp-block-kadence-advancedbtn kb-buttons-wrap kb-btns90029_069da8-cd\"><style>ul.menu .wp-block-kadence-advancedbtn .kb-btn90029_8ce085-67.kb-button{width:initial;}.wp-block-kadence-advancedbtn .kb-btn90029_8ce085-67.kb-button{color:#003a5d;background:#ffffff;font-size:1.25rem;line-height:1.45;text-transform:uppercase;border-top-left-radius:50px;border-top-right-radius:50px;border-bottom-right-radius:50px;border-bottom-left-radius:50px;border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;padding-top:12px;padding-right:32px;padding-bottom:12px;padding-left:32px;}.wp-block-kadence-advancedbtn .kb-btn90029_8ce085-67.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90029_8ce085-67.kb-button:focus{color:#ffffff;background:#003b5c;border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn90029_8ce085-67.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}}@media all and (max-width: 1024px){.wp-block-kadence-advancedbtn .kb-btn90029_8ce085-67.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90029_8ce085-67.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}@media all and (max-width: 767px){.wp-block-kadence-advancedbtn .kb-btn90029_8ce085-67.kb-button{border-top:2px solid #eb6600;border-right:2px solid #eb6600;border-bottom:2px solid #eb6600;border-left:2px solid #eb6600;}.wp-block-kadence-advancedbtn .kb-btn90029_8ce085-67.kb-button:hover, .wp-block-kadence-advancedbtn .kb-btn90029_8ce085-67.kb-button:focus{border-top:2px solid #ffffff;border-right:2px solid #ffffff;border-bottom:2px solid #ffffff;border-left:2px solid #ffffff;}}<\/style><a class=\"kb-button kt-button button kb-btn90029_8ce085-67 kt-btn-size-standard kt-btn-width-type-auto kb-btn-global-inherit  kt-btn-has-text-true kt-btn-has-svg-false  wp-block-button__link read-more-trigger wp-block-kadence-singlebtn\" aria-label=\"View More Team Members\" href=\"https:\/\/www.mcguirewoods.com\/people\/?wp_posts_people%5BrefinementList%5D%5Blinked_services%5D%5B0%5D=Broker-Dealer%20Compliance%20%26%20Regulatory%20Counseling\"><span class=\"kt-btn-inner-text\">Full 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Practices<\/span><\/a><\/li><\/ul><div class=\"kt-tabs-content-wrap\">\n<div class=\"wp-block-kadence-tab kt-tab-inner-content kt-inner-tab-1 kt-inner-tab90029_a6abb9-ef\"><div class=\"kt-tab-inner-content-inner\"><style>.kb-row-layout-id90029_0f79f0-e5 > .kt-row-column-wrap{align-content:start;}:where(.kb-row-layout-id90029_0f79f0-e5 > .kt-row-column-wrap) > .wp-block-kadence-column{justify-content:start;}.kb-row-layout-id90029_0f79f0-e5 > .kt-row-column-wrap{column-gap:27px;row-gap:var(--global-kb-gap-none, 0rem );padding-top:0px;padding-right:0px;padding-bottom:0px;padding-left:0px;grid-template-columns:minmax(0, 1fr);}.kb-row-layout-id90029_0f79f0-e5 > .kt-row-layout-overlay{opacity:0.30;}@media all and (max-width: 1024px){.kb-row-layout-id90029_0f79f0-e5 > .kt-row-column-wrap{row-gap:var(--global-kb-gap-none, 0rem );grid-template-columns:minmax(0, 1fr);}}@media all and (max-width: 767px){.kb-row-layout-id90029_0f79f0-e5 > .kt-row-column-wrap{grid-template-columns:minmax(0, 1fr);}}<\/style><div class=\"kb-row-layout-wrap kb-row-layout-id90029_0f79f0-e5 alignnone wp-block-kadence-rowlayout\"><div class=\"kt-row-column-wrap kt-has-1-columns kt-row-layout-equal kt-tab-layout-inherit kt-mobile-layout-row kt-row-valign-top\">\n<style>.kadence-column90029_3fa376-3f > .kt-inside-inner-col{display:flex;}.kadence-column90029_3fa376-3f > .kt-inside-inner-col,.kadence-column90029_3fa376-3f > .kt-inside-inner-col:before{border-top-left-radius:0px;border-top-right-radius:0px;border-bottom-right-radius:0px;border-bottom-left-radius:0px;}.kadence-column90029_3fa376-3f > .kt-inside-inner-col{row-gap:var(--global-kb-gap-none, 0rem );column-gap:var(--global-kb-gap-sm, 1rem);}.kadence-column90029_3fa376-3f > .kt-inside-inner-col{flex-direction:column;align-items:flex-start;}.kadence-column90029_3fa376-3f > .kt-inside-inner-col > .kb-image-is-ratio-size{align-self:stretch;}.kadence-column90029_3fa376-3f > .kt-inside-inner-col > 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c-card-service__heading\">Securities Enforcement &amp; Regulatory Counseling<\/h5><\/a><\/article>\n<\/div><\/div>\n\n<\/div><\/div><\/div><\/div>\n<\/div><\/div><\/div>\n<\/div><\/div>\n\n<\/div><\/div>","protected":false},"excerpt":{"rendered":"<p>Broker-Dealer Compliance &amp; Regulatory Counseling McGuireWoods\u2019 experienced broker-dealer compliance and regulatory counseling team represent broker-dealers, investment advisers, municipal advisors, private equity and hedge funds, banks, and issuers in examinations, informal&#8230;<\/p>\n","protected":false},"author":4,"featured_media":0,"parent":166,"menu_order":0,"template":"","site_tax":[2],"class_list":["post-90029","practice","type-practice","status-publish","hentry"],"acf":[],"links_out":[],"links_in":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.9 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Broker-Dealer Compliance &amp; Regulatory Counseling - McGuireWoods<\/title>\n<meta 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