JSBarkats, PLLC attorneys are experienced in representing Banks, Investment Banks, Broker Dealers, and Registered Representatives in transactions of every kind, as well as in regulatory initiatives and legislation, enforcement actions, payment system issues, anti-money laundering and corporate governance issues.
In connection with the global credit and financial crises, we can help institutions seeking non-traditional investments, sales and restructuring arrangements. We also offer solutions to issues arising from bank securities offerings, and regularly deal with disclosure issues faced by banks.
Broker Dealer Registration service includes:
- SEC & FINRA Registration
- Home State Registration
- Original Form BD
- Specialized Business Plan
- Customized Written Supervisory Procedures Manual
- Customized Needs Analysis and Training Plan
- Customized Anti-Money Laundering Procedures
- Customized Business Continuity Plan
- Form U-4’s filed for Principals
- FINRA approved fingerprint cards for each registered person
- Preparation of all required FINRA District application documents
- Follow-up response letters
- All communications with the FINRA
Broker Dealer Compliance provides guidance in the registration of securities with Broker Dealers in all states. The requirements for Broker Dealer registration is complicated in that it varies from state to state. Allowing JSBarkats, PLLC to complete the registration will ensure professional and accurate Broker service.
All our services are on a Flat Fee basis
For more information please call 646-502-7001 or email us at info@JSBarkats.com