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Attorneys

Chapman routinely advises clients in connection with virtually all aspects of broker-dealer activities

We represent broker-dealers in connection with a wide range of activities including retail customer services, capital markets activities, trading, private placements and investment company and private fund distribution. We are experienced in the legal, regulatory, compliance, risk management and operational issues impacting broker-dealers and assist clients with Securities and Exchange Commission (“SEC”) registrations and Financial Industry Regulatory Authority (“FINRA”) membership.

Some of the services we provide to broker-dealer clients include:

We also work with a variety of clients to analyze their organizations’ practices and structures to determine whether they are engaging in broker and/or dealer activity requiring registration.