Question 1

What services does the company provide?

Accepted Answer

The company provides regulatory and compliance counsel to the financial services industry, including broker-dealers and investment advisers. Their services include FINRA, SEC, and state registration services, written supervisory policies and procedures, risk assessment and management, compliance program testing, anti-money laundering support, financial and FINOP services, financial industry contracts and agreements, regulatory responses, distribution and due diligence, and ongoing compliance services.

Question 2

What is the company's area of expertise?

Accepted Answer

The company's expertise is targeted towards answering and responding to the complex legal and practical questions, issues, and challenges facing broker-dealers, investment advisers, and other corporate organization entities in the financial services industry. The firm's regulatory advice and compliance services focus on assisting firms and managers in maintaining compliance with a multitude of regulatory requirements.

Question 3

Where is the company located?

Accepted Answer

The Legaye Law Firm, P.C. is located in Houston, Texas.

Question 4

What are the company's areas of practice?

Accepted Answer

The company's main areas of practice include broker-dealer services, investment adviser counsel, and other services such as contracts and agreements, written policies, client disclosure documents, and corporate organization.

Question 5

How can clients contact the company?

Accepted Answer

Clients can contact the company by phone at

The Legaye Law Firm P.C.

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