The Beck Law Firm, LLC represents broker-dealers and registered investment advisers in regulatory and compliance matters. Drawing on attorney Joel Beck's experience as a securities regulator, and an additional dozen years+ in private practice, our BD and RIA clients are in good hands.
Examples of typical services in this area include:
Broker-Dealers
- Assistance in formation and registration of broker-dealers with FINRA
- Drafting of client account agreements, registered rep. agreements, and employee confidentiality agreements
- Responding to regulatory requests such as FINRA and SEC inquiries as well as State of Georgia inquiries
- Defense of proposed enforcement actions by regulators, including responding to “Wells” letters and negotiations of AWCs and consent orders
- Defense of formal complaints filed by FINRA against a broker-dealer in hearings before the Office of Hearing Officers
- Representation of firms in client complaints and settlements of same where appropriate
- Counsel regarding Form U4 and Form U5 disclosures for registered persons
Registered Investment Advisers
- Assistance in formation and registration of RIA with SEC or State of Georgia
- Analysis of registration requirements under Investment Advisers Act (federal) and Georgia Securities Act (state)
- Drafting of client advisory services agreements, IAR agreements, and employee confidentiality agreements
- Assistance with Form ADV, Form CRS and related reports and disclosures
- Representation of RIA before regulators in connection with routine and special examinations by the SEC or state of Georgia
- Regulatory defense before SEC or Georgia
- Representation of firms in client complaints and settlements of same where appropriate
- Counsel regarding Form U4 and Form U5 disclosures for registered persons
To learn how The Beck Law Firm, LLC can help your BD or RIA in regulatory and compliance matters, give us a call to discuss your situation.