In addition to providing due diligence services to securities broker-dealer firms, we represent these firms in connection with regulatory compliance and other legal matters, focusing on firms that follow the independent contractor model.

These services include: 

• Advising on FINRA requirements applicable to offerings of direct participation programs and non-conventional investments, including advice concerning:
  • Due diligence requirements;
  • Compensation rules;
  • Suitability analysis; and
  • Training requirements.
• Reviewing and negotiating selling agreements and other documents; and
• Assisting in the preparation of compliance policies and procedures.