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Investment Management

Broker-Dealers

  • Overview
  • Updates, News & Presentations

We have experience in organizing and representing broker-dealer clients, including mutual fund distributors.

Our services include:

Organization and Operation

  • Formation and registration of broker-dealers under the Securities Exchange Act of 1934 and state laws
  • Preparation of organizational documents
  • Application for membership with the Financial Industry Regulatory Authority, Inc. (FINRA) and assistance with continuing membership matters
  • Preparation and review of customer agreements and Form BD disclosure
  • Advice regarding advertisements and marketing materials

Compliance

  • Advice on general compliance and legal issues arising under federal and state securities laws and regulations and FINRA rules
  • Preparation and review of written supervisory procedures and compliance manuals
  • Chief compliance officer support
  • Assistance with FINRA and other regulatory examinations, deficiency letters and administrative actions
  • Advice regarding regulatory aspects of mergers and acquisitions involving broker-dealers

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Copyright © 2016 Godfrey & Kahn, S.C.

Attorneys at Law - All rights reserved.

 

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