Regulatory Advice and Guidance

As a logical companion to its Securities Practice, BCRH LLP has extensive experience representing and advising clients in connection with broker-dealer and investment adviser formation, registration and licensing issues, as well as the Securities and Exchange Commission (SEC) Financial Industry Regulatory Authority (FINRA) and state regulatory investigations and enforcement actions. Since the inception of the firm, we have represented brokerage and investment advisory firms, and their affiliated personnel, before state and federal regulatory bodies as well as before self-regulatory organizations, on a cost-effective and results-oriented basis.

We also advise our clients in connection with all phases of the regulatory investigative process, from inception of an investigation, to coordinating parallel investigations by multiple regulators, through and including a formal action, to the impact of an enforcement action on any arbitration or litigation. We counsel our clients throughout the process, from how to respond to a regulatory inquiry to how to testify at an on-the-record examination or defend any resulting trial or enforcement proceeding.

In the broker-dealer and investment adviser formation arena, we regularly advice our clients in connection with all aspects of the process, from inception through final regulatory approval. Necessarily, our representation often includes advising clients on the purchase and sale of their securities and investment advisory businesses.

Based on our experience in this area, we also provide our clients with up-to-date news regarding rule changes or regulatory pronouncements and are often called upon to present at industry, firm or client sponsored seminars on topics ranging from the impact of new rules and recent decisions of interest to defending a regulatory action.