The Investment Management Practice Group counsels its broker-dealer clients on all facets of their business, providing practical, business, legal and regulatory advice in the following areas:
- Organization, registration and Financial Industry Regulatory Authority membership
- Negotiation of complex business relationships
- Material expansions of their business
- Operation of broker-offered investment advisory programs
- Mergers and acquisitions
- New product development
- Compliance policy and procedure development and testing
- Interpretive advice regarding Securities and Exchange Commission, Financial Industry Regulatory Authority and stock exchange existing and proposed rules
- Enforcement and litigation