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? You should consider seeking advice from FINRA arbitration law firm/ hiring an attorney to represent you during the arbitration or mediation proceedings to provide direction and advice. Even if you do not choose to hire an attorney, brokerage firms are generally represented by an attorney.
FINRA enforcement counsels at MAH Advising, PLLC (“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 provide broker dealer compliance services by assisting 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 with:
MAH experts being a FINRA broker dealer regulatory counsel is well-versed in all aspects of Financial Industry Regulatory Authority compliance (FINRA). Our FINRA defense attorney advise clients on FINRA requirements such as:
For additional help or information related to FINRA enforcement, talk to the team of FINRA securities arbitration lawyer here at MAH Advising PLLC. Our FINRA enforcement attorneys have very good experience in helping brokers dealers. Contact your FINRA defense lawyers now at MAH Advising PLLC.