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
- 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
- Mergers, acquisitions and joint ventures involving broker-dealers, including due diligence assistance
Learn more about our transactional services.