Broker-Dealers

We offer comprehensive services for the formation, registration, management and day-to-day operation of successful broker-dealer firms; this is not an all-inclusive list.

Representative Experience

• Preparing all formation and registration documents required by the SEC, FINRA and state regulators, including Forms BD, NMA, U4 and U5; Entitlement documents; Business Plans; Written Supervisory Procedures; Anti-Money Laundering Procedures; Business Continuity Plans, etc.
• Assisting with start-up activities, such as acquiring the surety bonds required by many states’ securities laws
• Serving as broker-dealers’ primary liaison with FINRA
• Assisting with and attending broker-dealers’ pre-membership interviews
• Advising broker-dealers in connection with Dodd-Frank and JOBS Act compliance, particularly in light of the relaxation of the prohibition on general solicitations under the JOBS Act
• Preparing compliance policies and programs (e.g., Firm Element Continuing Education manuals, etc.) and conducting compliance reviews
• Reviewing advertising and marketing material
• Providing advice on SEC proceedings
• Defending broker-dealers and/or their employees in SEC enforcement matters
• Representing broker-dealers and/or their registered representatives in connection with FINRA audits, inquiries, on-the-record interviews and arbitrations
• Defending broker-dealers and registered representatives (“associated persons”) before the FINRA
• Assisting broker-dealers in transactional work, including mergers and acquisitions, private placements and public offerings