Ropes & Gray LLP

Ropes & Gray LLP’s broker-dealer practice provides regulatory guidance to asset managers and private equity firms, advising on a broad range of compliance and enforcement matters. The team assists clients with broker-dealer formations, registrations, and compliance with SEC and FINRA regulations, as well as representing firms in regulatory examinations and enforcement proceedings. The practice is particularly noted for its experience in advising private equity firms on broker-dealer regulatory matters, helping clients navigate evolving regulatory requirements and operational challenges. The team works closely with clients to develop compliance frameworks and respond to regulatory inquiries. Key figures in the practice include Brynn Rail, who is based in New York, and Eva Carman, the managing partner of the firm’s New York office. Boston-based Jessica Reece  is also a core member of the team, supported by Erin Conklin in Chicago and Cole Goodman in Boston. The firm continues to assist financial institutions in addressing regulatory complexities and maintaining compliance in a shifting regulatory landscape.