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:

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.

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