Broker-dealers must meet a slew of regulatory requirements, each of which presents its own set of challenges. For instance, what procedures should be followed for social networking diligence and supervisory? What are the current cash versus non-cash compensation rules, and what can and cannot be paid for? How should suitability and legitimate concerns be evaluated before a new product is made available? We at MAH Advising, LLC (“MAH”) offer legal advice and services to deal with these challenges.
Our lawyers and professional staff provide the following ongoing broker-dealer attorney assessment services:
Our securities attorneys assist broker-dealers from the start of their business. We assist in the completion of new membership applications, the updating of corporate records (such as bylaws, partnership agreements, and so on), the assistance with registration requirements as well as compliance processes for registered representatives, and the development of training programs.
Please visit our page on broker-dealer formation to learn more about our formation services
Some clients want to buy a pre-existing broker-dealer shell. Others want to improve their current compliance programs. Whatever you decide, MAH can assist you by:
MAH is well-versed in all aspects of Financial Industry Regulatory Authority compliance (FINRA). Our attorneys advise clients on FINRA requirements such as: