Broker-Dealers, Investment Advisers and Commodities Firms
Day Pitney provides a full range of legal services to broker-dealers, investment advisers, and commodities firms, including advice, assistance and representation concerning:
- Organizational Structure and Formation
- SEC and CFTC Registration and Exemptions
- FINRA and NFA Membership
- Exchange Memberships
- State Registration
- SRO and State Licensing of Associated and Affiliated Persons
- Compliance with the Securities and Commodities Laws
- Compliance with SRO Rules
- Customer Documentation
- Clearing Arrangements
- Custody Arrangements
- Prime Brokerage Arrangements
- Technology Licensing
- Anti-Money Laundering Programs
- Advertising/Performance
- Regulatory Reporting
- Electronic Recordkeeping and Review
- Public Offerings and Private Placements
- Hedge Funds
- Employment and Compensation
- Mergers and Acquisitions
- Litigation, Arbitration and Mediation
- Regulatory Examinations, Inquiries, Investigations and Enforcement Actions
- Special Consulting and Audit Projects