Broker-Dealer Formation, Regulation and Compliance

The Financial Industry Regulatory Authority and state securities commission rules present a number of challenges that require competent legal assistance and interpretation. Broker-Dealers and their registered representatives seek the advice of Parker MacIntyre in such matters as applications for registration, contract assistance, compliance assistance, examination preparation, and arbitration and administrative action defense. We assist with every aspect of a broker’s business that implicates the complex regulatory scheme governing the business -- in other words, just about any kind of decision broker-dealers have to make. We have assisted firms in acquisitions and mergers, corporate structure and governance, contracts between firms and representatives or service providers, developing policies, procedures and guidelines, among other things. Our clients appreciate our honest and thorough advice and consider us a partner in their goal of providing a client-first, compliance oriented financial services firm.