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Investment Management

Broker-Dealers

  • Overview

We have experience representing both full service and limited purpose broker-dealers.

Our services include:

Organization and Operation

  • Formation and registration of broker-dealers under the Securities Exchange Act of 1934 and state law
  • Preparation of FINRA membership applications, including related discussions with FINRA staff
  • Preparation of organizational documents
  • Preparation and review of customer agreements and regulatory disclosure documents, including Form CRS
  • Review of and advice regarding advertisements and other marketing materials

Compliance

  • Advice on general compliance and legal issues arising under federal and state securities laws, including net capital requirements, customer protection rule and risk management requirements
  • Preparation and review of written supervisory procedures
  • Assistance with SEC or state examinations, findings letters and administrative actions

Transactions

  • Mergers, acquisitions and joint ventures involving broker-dealers, including due diligence assistance

Learn more about our transactional services.

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