Broker-dealers
Broker-dealers of all sizes and at all stages of growth come to Tonkon Torp for ongoing counsel and transactional services that help them run their business smoothly. That’s because in addition to a broad range of business services, we offer a deep knowledge of the compliance and regulatory matters that they face daily.
We advise clients on issues including FINRA compliance, U4 and U5 licensing, federal forms (including Form BD) and securities licensing. We also leverage the skills of multiple practice areas to help with:
We advise clients on issues including FINRA compliance, U4 and U5 licensing, federal forms (including Form BD) and securities licensing. We also leverage the skills of multiple practice areas to help with:
- Employee licensing requirements
- Compliance programs and compliance manuals, including codes of ethics and insider trading restrictions
- Product development
- Advisory, sub-advisory and brokerage agreements
- Marketing agreements, including selling agreements and solicitation agreements
- Executive compensation issues, including employment, non-competition and non-solicitation agreements
- Advertising and sales literature issues
- Advice on SEC and FINRA examinations
- Mergers and acquisitions, including sales, acquisitions and spin offs
- Tax and succession planning
- Litigation and arbitration, including shareholder disputes and defending enforcement matters