We have worked with many companies and individuals in dealing with the  Securities and Exchange Commission (SEC), the Securities Division of the Arizona Corporation Commission and other federal, state and self regulatory organizations, such as the Financial Industry Regulatory Authority (FINRA) on many matters, including:

• Forming and licensing securities dealers, including one of the largest discount brokers in the United States.
• Assisting securities dealers with filings and compliance with regulatory requirements, including annual compliance audits of procedures and ongoing education.
• Licensing securities dealers, sales persons and investment advisors with the SEC and the State of Arizona.
• Creating compliance manuals and procedures.
• Handling investigations and disciplinary proceedings before the SEC, FINRA, Arizona Corporation Commission, and other state regulatory authorities.
• Representing dealers, sales people and customers in arbitration proceedings handled by FINRA (formerly the NASD and the New York Stock Exchange).

Bookmark with: