SECURITIES COMPLIANCE

Fortra Law provides ongoing compliance support, audits, and corrective guidance, while also representing clients in regulatory investigations and enforcement actions. Our team helps protect your business, licenses, and investor relationships, ensuring your offerings remain secure and fully compliant.

Securities Compliance for Lenders

Our team provides proactive support to mitigate regulatory risk and maintain ongoing securities compliance for lenders.

Services include:

  • Compliance audits and risk assessments
  • Preparation and review of filings and disclosures
  • Corrective action plans for compliance gaps
  • Ongoing guidance on evolving securities regulations

Regulatory Defense for Lenders

Fortra Law represents lenders facing regulatory inquiries, investigations, or enforcement actions. We offer hands-on regulatory defense to protect your business, licenses, and investor relationships.

Services include:

  • Representation in SEC or state regulatory investigations
  • Defense strategy and communications with regulators
  • Resolution planning and negotiation of settlements
  • Risk mitigation to protect ongoing operations and offerings

Our Services

Corporate Business Law

Fortra’s Corporate attorneys help clients with entity formation, governance, mergers and acquisitions, licensing, and other key matters. Our clients include private lenders, real estate developers, brokers, equity and debt funds, and wealth managers.
Learn More

Securities & Capital Markets

Fortra’s team advises on private placements, mortgage pools, opportunity funds, real estate investment trusts, and compliance. We serve mortgage funds, operating companies, private lenders, and other capital market participants
Learn More

Our Services

Corporate & Securities

Corporate & Securities team guiding funds and lenders in law and compliance.
Learn More

Banking & Finance

Banking team supports mortgage pros with transactions, compliance, and mitigation.
Learn More

Litigation & Bankruptcy

Litigation & Bankruptcy provides counsel for funds and lenders in business law and securities.
Learn More

Why Choose Us

Fortra Law is the nation’s largest law firm dedicated almost exclusively to the private/non-conventional lending space and is the leading legal resource for specialty lenders, asset-based lenders, private lenders, and non-bank institutions. Our legal departments include Banking & Finance, Corporate & Securities, and Litigation & Bankruptcy, offering lenders a vertically integrated suite of services while our Fortra Conference Line provides networking and educational opportunities to the industry at large. Reach out today to see how we can partner together.

Your Legal Resource Hub

Conference
Line

50+ Events

Lender Lounge
Podcast

100+ Episodes

Featured
Articles

500+ Articles

Coming Up Next

APR 28

Registration Open

Lender Lounge Season 6, Episode 7 | Online Event

Cultivating Success Through Connection with Kendra Rommel

Register

MAY 1-2

Limited Spots

Captivate 2025 | Encore at Wynn, Las Vegas

Limited Spots Remaining

Register

MAY 13-14

Early Bird

LeverageCon5 | Fairmont Dallas Hotel

Join industry leaders Kevin Kim, Jennifer Young, and Noah Sturgeon

Register

MAY 28

Registration Open

Webinar | Online Event

Private Lending Capital Stratagies: Do REITs Still Make Sense In 2025?

Register

Securities Compliance and Regulatory Defense Simplified

Fortra Law delivers comprehensive legal support to help lenders maintain compliance and defend against regulatory challenges, ensuring their investment offerings operate with confidence and protection.

Contact Us