Keegan Farley

Keegan Farley focuses his practice primarily on advising broker-dealers and investment advisers on compliance with the federal securities laws and regulations, as well as the rules of self-regulatory organizations (SROs), including FINRA. He routinely helps broker-dealers in registering with the SEC, becoming members of FINRA, and obtaining approval to implement changes in business and changes in ownership.

Mr. Farley also advises U.S. registered investment companies and business development companies on a wide variety of regulatory, compliance, and business matters.

Mr. Farley was a Dechert summer associate in 2023.