Date: Tuesday, March 31, 2026
Time: 2:00 p.m. – 3:00 p.m. ET
Location: Virtual
Contact: Elise Hoffer, 513.352.6748, Elise.Hoffer@ThompsonHine.com
A webinar series presented by Thompson Hine LLP
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.
How to Launch a Broker-Dealer: A Founder’s Guide and Readiness Diagnostic
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.
Moderator:
- Ernest Badway, Partner, Thompson Hine
Panelists:
- Marc Minor, Senior Counsel, Thompson Hine
- Riccardo DeBari, Partner, Thompson Hine
Upcoming Programs:
Wednesday, April 22 | 2:00 p.m.
Fund Formation Deep Dive: Venture, Hedge, Private Credit, and Digital Asset Funds
Monday, May 18 | 2:00 p.m.
ETFs and Exchange-Listed Products: From Crypto to Complex Strategies