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Broker-Dealer Formation
Mergers & Acquisitions
Transitioning to a New Business Model
Legal Considerations for Breaking Away
Mock Regulatory Exams
Response to Regulatory Inquiries
Contracts, Agreements & Other Documents
Client Disclosure Documents
Broker-Dealer Counsel
Investment Advisory & Management Counsel
Creating & Maintaining Compliance Programs
Written Policies, Procedures & Internal Controls
Formation of Hedge Funds
Formation of Investment Advisers
Testing of AML, BCP and Reg-SP Programs
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Securities Law: An Overview
Los Angeles Area Securities Law
San Francisco Area Securities Law
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