Margaret R. Blake

Of Counsel

Peggy Blake advises US and international financial entities on the application of US securities laws to their activities. She advises market participants on compliance issues and applicable rules under the Securities Exchange Act of 1934, as well as rules of the Financial Industry Regulatory Authority (FINRA), the Municipal Securities Rulemaking Board (MSRB) and other self-regulatory organizations. Peggy advises on broker-dealer and municipal market concepts in litigations involving financial market participants, and assists clients with all aspects of broker-dealer registration, including continuing membership applications, materiality consultations, no-action requests and general regulatory and compliance issues.