Basswood Counsel is a boutique law firm providing hands-on, strategic corporate, mergers and acquisitions, tax, and transactional counsel—designed to navigate complexity with ease. Founded to prioritize meaningful client relationships over formalities, we collaborate with bold leaders across industries, tailoring our advice to support your unique goals and growth.
Navigating Legal
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Compliance does not end after registration.
In Part 2 of this broker-dealer compliance series, Jephte Lanthia and Erik Dolan explore the ongoing regulatory, operational, and supervisory responsibilities that broker-dealers face, from Regulation BI and advertising oversight to examinations, vendor management, and AI-assisted compliance tools.
News and Insights
IRS Refund Delivery Changes for 2026: Guidance for U.S.‑Based and International Taxpayers
The IRS will phase out most paper refund checks for U.S.-based taxpayers starting September 30, 2025, mandating electronic direct deposits.
The SEC Updates Its Enforcement Manual
The U.S. Securities and Exchange Commission recently updated its Enforcement Manual for the first time since 2017, introducing procedural changes
The Fundraising Strategy Nobody Talks About: Being Ready Before You Raise
The smartest founders don’t start preparing when the term sheet arrives -they build fundraising leverage months in advance by making
Legal Readiness Isn’t Overhead. It’s the Leverage You’re Missing.
Legal readiness isn’t overhead—it’s the strategic edge that keeps your business investor-ready, risk-proof, and ahead of the game before anyone