About Us

The Broker-Dealer Law Blog provides practical insights on litigation, regulatory, compliance and fiduciary issues impacting broker-dealers, who constantly face increasingly challenging regulatory requirements and litigation exposures. In this Blog, you will find our take on ERISA, FINRA and SEC-related developments, emerging legal issues and strategies. Our objective is to give you a better understanding of how these new rules, including the DOL Fiduciary Duty Rule, and directives from the SEC, FINRA and the DOL, affect your business as the issues evolve.

Our cross-disciplinary editorial team consists of members of Drinker Biddle’s ERISA, litigation/ FINRA Arbitration, Regulatory and Compliance, and SEC and Regulatory Enforcement teams who regularly counsel and defend broker-dealers.