How should the cross-channel marketing of products and services be handled? What are the do's and don'ts of soft dollar arrangements? What are the current rules regarding cash versus non-cash compensation and what can you pay or not pay for? What suitability concerns should we vet prior to offering a new product?
At JLG, we provide legal counsel and services which answer and effectively respond to the questions and challenges facing today's broker-dealer entities.
The ongoing broker-dealer counsel and support services offered by our Firm and professional staff may include:
- Mock FINRA examinations and broker-dealer risk assessment
- Branch office audits
- Evaluation of current surveillance efforts including the review of surveillance reports and generation of "red flag" triggers
- Response to regulatory inquiries
- Creation, review and analysis of corporate records, including by-laws, operating agreements and other documentation
- Authoring, review and analysis of client documents (new account forms, privacy notices, prospectus receipts, 1035 exchange disclosures, quarterly performance reports, marketing disclosures, etc.)
- Review and assessment of sales practices (use of finders, telemarketing, marketing tools and sales desk responses)
- Creation, testing and maintenance of compliance programs
- Implementation of compliance technology solutions
- Assistance in completion of all ongoing registration forms, submission of supporting documentation and filing with FINRA and appropriate state offices
- Assistance with registration requirements and application processes for registered representatives
- Development and maintenance of training programs
- Creation and review of broker-dealer selling agreements
- Assessment of business continuity, disaster recovery and succession plans
- Due diligence of third party service providers
Jacko Law Group, PC provides ongoing broker-dealer counsel, support and legal services to its clients throughout the United States.
For more information or to speak with a securities attorney — contact our San Diego law office directly at 619-298-2880 or contact us online.
Suite 208