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Thompson Hine LLP, a full-service business law firm with approximately 400 lawyers in 11 offices, was ranked number 1 in the category “Most innovative North American law firms: New working models” by The Financial Times and was 1 of 7 firms shortlisted for The American Lawyer’s inaugural Legal Services Innovation Award. The firm has been recognized by the National Law Journal as a Legal Technology Trailblazer and featured by Bloomberg for its innovative service delivery models, which drive accuracy and predictability. The firm’s commitment to innovation is embodied in Thompson Hine SmartPaTHTM – a smarter way to work – predictable, efficient and aligned with client goals. For more information, please visit ThompsonHine.com and ThompsonHine.com/SmartPaTH.

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Date: Tuesday, March 31, 2026 Time: 2:00 p.m. – 3:00 p.m. ET Location: Virtual Contact: Elise Hoffer, 513.352.6748, <a href="mailto:Elise.Hoffer@ThompsonHine.com?subject=IM Coffee Chat How to Launch a Broker-Dealer 3.31.2026">Elise.Hoffer@ThompsonHine.com</a>

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A webinar series presented by Thompson Hine LLP

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Join us for an afternoon break to discuss timely issues impacting investment management. This series features practical, focused conversations on key legal and regulatory developments affecting investment advisers and financial services firms, along with strategic considerations to help you navigate what’s ahead.

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How to Launch a Broker-Dealer: A Founder’s Guide and Readiness Diagnostic

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This program builds on our previous investment advisory session and focuses on starting a broker-dealer—a firm that buys and sells securities for clients. We'll walk you through entity formation, capital planning, and preparing a strong application for FINRA membership.

You'll learn how to design an effective management and supervisory structure, draft written supervisory procedures, and implement systems to address anti-money-laundering requirements and sanction compliance. This session will also cover determining your business model, selecting clearing and custody arrangements, and understanding regulatory capital requirements. We'll close with an overview of practical tools that leadership teams can use to identify gaps before submitting their applications.

Ernest Badway, Partner, Thompson Hine

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Marc Minor, Senior Counsel, Thompson Hine

Riccardo DeBari, Partner, Thompson Hine

Wednesday, April 22 | 2:00 p.m. <a href="https://urldefense.com/v3/__https:/links.thompsonhine.mkt4194.com/els/v2/wdRPspRKjPf6/QXpzZTI5OG9xbW82bytRVlFTT3lvdEdNTjQyYVBEeXFXejgxbWF6SlMvd3VicWF0NWVaNGhIV0tpaFZkOFYyd2xWZzk4WlozRlVJU2xCVEt3SmsrUlZUUEdidTJyS2NzUGlLalVSVytQK1c4eWFjRmx5NW1udz09S0/__;!!OdqygGz-7UHvSw!vZ_qm0WkXrL8KpQk7TJl1VWeI91GS_KUNGwqrlJYBiDaQyHBBJW5Qp3gUkLBk-v8i4dV3QOdSQwT-BuF1N7RnaQfxfsaaw$" target="_blank" rel="noreferrer noopener">Fund Formation Deep Dive: Venture, Hedge, Private Credit, and Digital Asset Funds</a>

Monday, May 18 | 2:00 p.m.&nbsp; <a href="https://event.on24.com/wcc/r/5264493/2203CA436322FBC9B0D81D9708AD98F7/6645964">ETFs and Exchange-Listed Products: From Crypto to Complex Strategies</a>

Investment Management Coffee Chat Series 2026 – How to Launch a Broker-Dealer

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