Legal Advisory Services For Broker-Dealers

Broker-dealers are subject to numerous regulations at the state and federal levels. Navigating this complex and frequently evolving legal landscape requires ongoing legal counsel.

At The Jin Law Group in New York City, we provide strategic legal services for independent broker-dealers as well as affiliates of banks and other financial institutions. Our attorneys offer a wealth of experience in this niche area. Drawing on exceptional credentials and in-depth knowledge of both domestic and international markets, we possess the legal and financial acumen necessary to develop tailored solutions that meet our clients' needs.

Strategic And Sophisticated Guidance

Our lawyers advise clients on the countless legal issues that confront broker-dealers in the context of:

  • Entity formation
  • State and federal registration
  • Exemptions to registration requirements
  • Sales and marketing practices
  • Trading practices
  • Anti-fraud compliance
  • Risk assessment and internal controls
  • Reporting and record-keeping requirements
  • Transactions, acquisitions and restructuring
  • Consumer privacy requirements

We also assist clients with:

  • Negotiating and structuring broker-dealer contracts
  • Addressing employment-related issues such as raiding, recruiting, noncompete agreements and unfair competition
  • Conducting and responding to internal investigations
  • Handling enforcement proceedings and securities litigation

Our attorneys are intimately familiar with the numerous bodies of law and regulatory organizations that govern broker-dealers, including the Securities Exchange Act of 1934, the Martin Act, the Securities and Exchange Commission, the New York Investor Protection Bureau, the Financial Industry Regulatory Authority (FINRA) and other self-regulatory organizations. This sophisticated level of expertise gives us the ability to identify and avert potential problems before they even arise.

Learn More

Find out how our commitment to excellence translates into effective legal services. To get in touch with our legal team, call 646-863-9110 or contact us online.