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Investment Management



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
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