Compliance and Regulatory Counseling

The firm has over 40 years of experience in the representation of broker-dealers and registered investment advisers in every aspect of their business. We provide broker-dealers and individual registered representatives with advice as to compliance with regulatory requirements, and also represent them in dealings with the Securities and Exchange Commission, state securities administrators, FINRA and other regulatory authorities.

We have assisted our broker-dealer clients in their preparation for regulatory examinations, and our attorneys have lectured to broker-dealer employees on compliance and ethical matters in various speaking engagements. Included among our clients are member firms and securities registered representatives whose members we represent in customer arbitrations and regulatory matters.

Our Broker-Dealer Regulation attorneys assist clients with the formation of procedures and ongoing compliance initiatives pertaining to securities broker-dealers. Assisting with all aspects of the "new member application" process (referred to as a “1017” or “CMA”), including preparing and filing documents such as the Form BD, entitlement documents, Forms U4 or U5, Written Supervisory Procedures, Business Plan, Anti-Money Laundering Procedures, Business Continuity Plan, Firm Element/Continuing Education Manual, Providing advice on all aspects of U.S. federal and state securities laws, including regulation by the national securities exchanges, FINRA and other self- regulatory organizations. Our firm assists clients with ongoing issues related to continuing education, licensing, and enforcement matters and monitoring developments in regulatory and compliance matters including SEC and FINRA rule proposals; and Representing broker-dealer clients and individual registered representatives in litigation, arbitration and regulatory enforcement proceedings.

We counsel our registered investment adviser clients through the initial Form ADV filing process, renewals and amendments thereto, firm structuring, developing a code of ethics/conduct, drafting AML procedures, drafting employment and independent contractor agreements, and negotiating vendor contracts with platform providers.