Registered Broker-Dealers and Investment Advisors

We represent registered broker-dealers and investment advisers.

Our services include:

•Formation and registration of broker-dealers and investment advisers under Securities and Exchange Act of 1934 and the Investment Advisers Act of 1940 or state blue sky law.

•Preparation and review of subordination and advisory agreements and customer disclosure documents.

•Review and advice regarding advertisements, marketing materials , and performance reporting and presentations.

•Preparation of compliance procedures.

•Advice on general compliance and legal issues arising under the Exchange Act, Investment Advisers Act and state blue sky law, including outside employment, anti-money laundering, personal trading, trade allocation, affiliated brokerage transactions, best execution, and soft dollar arrangements.

•Assistance with SEC and FINRA examinations, deficiency letters, and administrative actions.

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