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We offer advice on all regulatory, compliance, enforcement and securities law matters with a focus on Financial Industry Regulatory Authority (Finra) and Securities and Exchange Commission (SEC) rules and regulations.

Funding Portals

Our Firm is also proud of our experience forming and supporting “Funding Portals” – SEC and Finra registered intermediaries who serve the Regulation Crowdfunding industry. In this context, we provide services in connection with the new membership application, Finra interview, and in any Finra requests, investigations or audits that follow.

Funding Portals, similarly to Broker-Dealers, are heavily regulated organizations subject to unique requirements under regulations. Unlike other broker-dealers, Funding Portals are prohibited from giving investment advice, soliciting offers, paying success fees to persons for solicitations, or handling investor funds or securities. We are pleased to help our clients navigate these often complex rules and be supportive of this community of professionals by providing ongoing guidance and support, post-formation.

Our Services

Our Broker-Dealer Services Include:

  • Entity formation.
  • SEC registration and Finra New Member Application processes for broker-dealers and Funding Portals.
  • Assistance in completion of all registration documents, including Form BD, Form NMA, Form FP business plan and submission of supporting documents.
  • Development of written supervisory procedures (WSPs) and necessary brokerage forms and agreements.
  • Finra requests, interviews and investigations.
  • Advice relating to changes in business, ownership, or management.
  • Licensing and registration of entities and personnel.
  • Broker-dealer advertising and sales literature reviews.
  • Preparation of Form 5110s for Broker-Dealer clients participating in Reg A+ offerings.
  • Guidance on the latest regulatory and compliance rule releases and interpretations.

What Our Clients Say About Us

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