We assist our broker-dealer clients with their formation and registration under federal and state securities laws. We provide advice to these clients with respect to:

  • agreements with their customers;
  • underwriting, distribution, private placement and finder activities;
  • compensation arrangements;
  • compliance with state and federal securities laws;
  • trading, margin, clearing and settlement, reporting and recordkeeping obligations; and
  • employment and general business matters.

We also advise other regulated entities in the securities and commodities business, including commodity pool operators and commodity trading advisers.

We regularly advise our broker-dealer and other regulated clients in connection with examinations by the Securities and Exchange Commission, the Financial Industry Regulatory Authority, Inc., the Commodity Futures Trading Commission and other federal and state regulatory agencies.