Lauren A. Schwartz

Lauren Schwartz advises broker-dealers and investment advisers on regulatory, compliance, and enforcement matters related to federal and state securities laws and regulations, and the rules of self-regulatory organizations such as FINRA. Lauren assists clients with registration, regulatory inquiries and examinations, and developing compliance programs to ensure adherence to regulation and best practices, including developing and updating written supervisory procedures and compliance manuals.

Prior to joining Goodwin, Lauren was an associate at a national law firm, where she similarly counseled U.S. asset managers and broker-dealers with obtaining, amending, and withdrawing registration with the SEC and FINRA; advised and supported clients through SEC and FINRA inquiries and examinations; developed, integrated, and updated compliance and supervisory policies and procedures and customer agreements for new and existing broker-dealers, and compliance manuals and investment advisory contracts for new and existing investment advisers.

She also conducted regulatory due diligence for companies going public to register securities with the SEC and for broker-dealer acquisitions; drafted and revised consulting agreements and engagement letters for M&A brokers and finders to align with SEC no-action relief and interpretive guidance; and developed training materials and conducted annual compliance training for investment advisers.

Before private practice, Lauren was a Senior Manager in the Financial Services Regulatory Advisory Practice at a Big Four professional services firm, where she advised asset managers, broker-dealers, financial institutions, and global investment banks on the impact of new and existing rules and regulations, and assisted with designing and implementing enhanced regulatory compliance programs as required by the SEC, FINRA, Federal Reserve, and OCC. She also conducted compliance and risk assessments; performed mock exams; prepared FINRA new and continuing member applications; and developed governance, supervisory, and operational processes for new products including fixed income trading and sales, equities, and mutual funds.

Lauren’s recent publications include:

• Co-Author, “FINRA, Nasdaq, and NYSE Warn of Pump-and-Dump Schemes Following Small-Cap IPOs,” Insights: The Corporate & Securities Law Advisor, February 2023
• Contributor, “Reg BI Has Broader Scope Than Many Think,” WealthManagement.com, June 2020