Investment Advisor Regulatory and Compliance Matters
Broker-Dealer Regulatory
and Compliance Matters
Regulatory Examinations, Inquiries, and Enforcement Actions
Arbitration and Litigation
Provide Legal and Regulatory Counsel on New Business Initiatives
Legal Agreement Review and Drafting
General Business and Corporate Law Representation
Temporary Counsel and Compliance Assignments
_Securities Law Practice Areas
 

Broker-Dealer Regulatory and Compliance Matters
...........................................................................................
FINRA membership process.
Broker-dealer registration issues.
Form BD, schedules and disclosures.
Form U-4 and Form U-5 disclosures and filings.
Registered representative registration and qualification issues
with SROs and states.
Day-to-day compliance issues and guidance.
Risk management reviews and assessments.
Compliance system reviews and drafting of procedures and
manuals
Firm supervisory structure and branch office issues.
Advertising, sales material, and brochure reviews.
Code of Ethics issues and reporting.
Compliance annual certification under FINRA Rules 3012 and
3013.
Anti-money laundering requirements and related programs.
Continuing education requirements and annual compliance
meeting content.

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