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. Ms. Schwartz 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.





Professional Experience

Prior to joining Goodwin, Ms. Schwartz 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; 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, Ms. Schwartz 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.

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JD, 2013
Brooklyn Law School
BA, 2007
New York University



New York
New Jersey
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Our clients rely on us for world-class advisory services, counsel on complex transactional work and high-stakes litigation. Specializing in matters involving the financial, life sciences, private equity, real estate, and technology industries, we use a collaborative, cross-disciplinary approach to resolve our clients’ most challenging issues. To find out more, please contact us.


Nos équipes interviennent aux côtés de nos clients, industriels, fonds d’investissement, startups, institutions financières et dirigeants, dans le cadre de transactions et de contentieux complexes, et apportent des conseils de tout premier plan dans les secteurs financiers, des Sciences de la Vie, du Private Equity, de l’immobilier et des technologies. Nous traitons les dossiers juridiques de manière intègre, ingénieuse, souple et audacieuse pour répondre efficacement aux enjeux propres à chacun de nos clients, quels que soient la taille de l’opération et le secteur d’activité. Pour en savoir plus, contactez-nous.

Unsere Kunden verlassen sich auf unsere erstklassige Beratung, vor allem im Hinblick auf komplexe Transaktionen und High-Stakes-Prozesse. Spezialisiert auf Angelegenheiten der Finanz-, Life-Sciences-, Private-Equity-, Immobilien-und Technologie-Branchen, verwenden wir einen kooperativen und interdisziplinären Ansatz, um Fragen unserer Kunden auch in extremen Spezialsituationen einer Lösung zuzuführen. Sie wollen mehr erfahren? Kontaktieren Sie uns gerne.