Our lawyers work with a number of corporations (or their law firms) on behalf of their BD applicant clients and have assisted applicants in becoming private placement BDs, General Securities BDs, and every variant in between. We attend pre-membership interviews for BD applicants throughout the country and maintain good relationships with many of the FINRA pre-membership or continuing membership examiners located at the various FINRA districts.
We have authored anti-money laundering procedures to comply with the U.S. Patriot Act and business continuity plans that are now required and are routinely reviewed in SEC and FINRA audits.
In addition, our lawyers:
- Routinely advise member firms on the preparation and maintenance of the numerous FINRA requirements pertaining to the preparation of annual certifications, ongoing education, firm needs analysis, Rules 3012 and 3013 and books and records rules.
- Represent Broker-Dealers in SEC, FINRA and State Securities or "Blue Sky" audits, attend exit interviews, compile responses to regulators’ inquiries, and appear at disciplinary hearings before the SEC, FINRA and NYSE involving Firms and Registered Representatives.
- Handle appeals of FINRA rulings and appear in Securities Arbitrations before the FINRA and NYSE.
For additional information about our Investment Management practice and broker-dealer services, please contact: