Broker-Dealer Regulatory


The Legal 500 Top Tier 2018

The attorneys in our broker-dealer regulatory practice counsel broker-dealers and other financial intermediaries that buy, sell and trade securities regarding all aspects of their regulatory and compliance obligations under the federal securities laws. For example, we routinely provide advice and assistance with respect to the following matters, among others:

  • broker-dealer status
  • broker-dealer formation, registration and SRO membership
  • registered representative licensing and regulation
  • compliance with financial responsibility, recordkeeping and other applicable SEC rules under the Securities Exchange Act of 1934
  • compliance with applicable SRO rules, including those relating to supervision, outside business activities, suitability and advertising
  • written compliance policies and supervisory procedures
  • business expansions, acquisitions and reorganizations
  • regulatory inquiries, examinations and investigations


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