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Practices

 

Broker-Dealer/Securities Firm Regulation

Our team covers a broad waterfront of issues facing global and national financial institutions engaged in securities transactions within the United States, including foreign and domestic banks, insurance companies, investment advisers and private fund managers. Our clients range from financial institutions specializing in investment banking to market leading clearing firms and prime brokers.

We have extensive experience counseling foreign and domestic financial institutions on issues related to their status as brokers and dealers and helping financial institutions to register with the SEC and to become members of Self Regulatory Organizations (SRO) such as the Financial Industry Regulatory Authority (FINRA).  We also assist broker-dealers in developing and revising written compliance policies and supervisory procedures and conduct reviews of their supervisory systems.

We counsel U.S. and international financial institutions, investment advisers and broker-dealers on issues related to compliance with the SEC’s financial responsibility rules, including the Net Capital and Customer Protection Rules, recordkeeping requirements, and financial reporting rules.  We also advise with respect to sales practice regulations including suitability, point-of-sale disclosures, gifts and entertainment practices, and compensation structures for representatives.

Recognition for our work

“Utilizes an international platform to assist both US clients with foreign broker-dealer issues and foreign clients with broker-dealer work in the USA. Acts for a variety of financial institutions on the full range of broker-dealer and securities compliance and regulation.” Chambers USA, 2014

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Barbara Stettner
Barbara Stettner
Partner
United States
Telephone icon+1 202 683 3850
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Chris Salter
Chris Salter
Partner
United States
Telephone icon+1 202 683 3851
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View officeView profile


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