Broker-Dealers

Broker Dealers Legal Support & Counsel

Doing business as a broker-dealer means you must comply with FINRA and State regulatory requirements. From suitability considerations to supervisory oversight and rules about cash and non-cash compensation and what can be paid for, to vetting new products and services, the list of considerations—and potential pitfalls—is daunting. When you partner with the professionals at Jacko Law Group, PC (“JLG”), you will have a team of experts on your side who have in-depth, hands-on knowledge of how to navigate the intricate demands of the securities industry.

We offer ongoing solutions to broker-dealers at every stage. Our formation services include membership applications, updating corporate records, assistance with registration, and developing training programs. Whether you wish to purchase an existing broker-dealer shell, form your own broker-dealer, or enhance your current compliance program, JLG can handle all of your needs. We provide you with due diligence checklists, formulate selling agreements, perform mock FINRA and SEC exams, conduct branch office audits, respond to regulatory complaints, and much more.

JLG also assists with transactions and broker-dealer practices, including considerations for hybrid models, assessment of compliance program evolutions, creation of compliance documents, assessment of sales practices, development of succession plans, and due diligence of third-party service providers.