SEC & FINRA Compliance Counsel for  Financial Professionals and Businesses

In today’s highly regulated financial landscape, compliance is not optional—it’s essential. Whether you’re a broker-dealer, registered investment advisor (RIA), private fund manager, or a company issuing securities, strict adherence to SEC and FINRA rules is critical to your success and survival.

At Kamps Legal, we help  clients build and maintain robust compliance programs that meet evolving regulatory demands. 

From registration to enforcement defense, we offer practical, experienced legal support that protects your firm’s reputation, mitigates risk, and fosters long-term growth.

 To schedule a confidential consultation.

What Is SEC and FINRA Compliance?

The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) oversee the integrity of U.S. securities markets. Together, they regulate:

  • Securities offerings and public disclosures

  • Broker-dealer conduct

  • RIA registration and compliance

  • Advertising and marketing practices

  • Recordkeeping and reporting

  • Supervisory procedures and internal controls

If your business operates in or near the securities industry, SEC and/or FINRA compliance likely applies to you. Noncompliance can result in audits, investigations, fines, license suspension—or even criminal liability.


Our SEC & FINRA Compliance Services

Kamps Legal provides end-to-end compliance support for financial firms and securities-issuing businesses:

  • Help with Form BD (broker-dealers), Form ADV (RIAs), CRD/IARD system filings, and state registrations.

  • Drafting and updating compliance manuals, Code of Ethics, supervisory procedures (WSPs), and testing policies.

  • Timely support with Form ADV updates, Form CRS, Form U4/U5, and FINRA Rule 4530 reporting.

  • Compliance review of websites, pitch decks, social media, and investor materials (under Rule 2210 and SEC guidance).

  •  Periodic reviews to identify gaps, test internal controls, and prepare for regulatory exams.

  • Representation in SEC/FINRA inquiries, subpoenas, 8210 letters, and settlement negotiations.

  • Ongoing education for staff, reps, and compliance officers to stay current on regulatory expectations.

Who We Serve

We advise a wide range of financial industry participants and corporate clients across US:

  • Broker-Dealers (including newly registered firms)

  • Registered Investment Advisors (RIAs)

  • Private Fund Managers & Hedge Funds

  • Family Offices & Wealth Managers

  • Startups & Public Companies issuing securities

  • In-House Legal & Compliance Teams

No matter the size of your firm, we provide clear, focused guidance to help you stay compliant and competitive.


Common Compliance Risks We Help Prevent

Risk Area

  • Inadequate written supervisory procedures

  • Misleading investor marketing materials

  • ADV or CRS filing errors

  • Improper rep supervision or disclosures

  • Failure to detect or report misconduct

How We Help

  • We draft and review WSPs tailored to your business model.

  • We ensure all communications meet SEC & FINRA rules.

  • We review and file updates on time to avoid enforcement.

  • We provide procedures and training to stay compliant.

  • We help establish internal reporting and escalation systems.

Why Choose Kamps Legal?

  • Regulatory Focus – We stay ahead of rule changes, enforcement trends, and exam priorities.

  • Based – We understand the regional business environment and financial landscape.

  • Practical, Business-Minded Advice – We don’t just flag risks—we solve them.

  • Flexible Engagements – We offer flat-fee reviews, on-call support, and project-based work.

  • Personalized Service – Work directly with an attorney who knows your business and industry.

 FAQs

  • The SEC is a federal agency overseeing securities laws. FINRA is a self-regulatory organization that specifically governs broker-dealers. RIAs report to the SEC or state regulators, depending on size.

  •  Exams may be routine or triggered by complaints, red flags in filings, marketing violations, or failure to meet compliance obligations

  • Yes, many firms use legal counsel for external audits, document review, and ongoing compliance strategy—especially smaller firms without in-house teams.

  • At least annually—or whenever your business model, team, or regulatory landscape changes significantly.

Let’s Talk Compliance

If your firm is facing an SEC or FINRA exam, preparing for a new product launch, or simply needs to strengthen its compliance program, Kamps Legal is here to help.