OUR SERVICES

 

Broker-Dealer Regulation

Sichenzia Ross Friedman Ference LLP is actively involved in representing broker-dealers in all aspects of their business, including regulatory compliance, disciplinary matters and trading issues. Our attorneys regularly speak with and appear before State, Federal and Self-Regulatory organizations, experience that inures to our clients’ benefit. This experience is drawn upon when addressing regulator inquiries for existing broker-dealers as well as when forming new broker-dealers. Our attorneys have succeeded in creating a fine balance – a reputation as strong, knowledgeable advocates whose effectiveness is enhanced because we are respected by the regulators. 

 

Who we advise/represent: Financial Service Companies including Broker-Dealers (introducing and self-clearing firms) | Commodity Firms | Entities and Individuals

 

Services provided include: Formation and Qualification of New Firms | Purchase and Sale of Existing Firms | New Member Applications and Continuing Member Applications | Amendments to Membership Agreements of Existing Firms | Annual Compliance Meetings | Acquisition and Disposition of Broker-Dealers