The Chicago Securities Attorneys represents sellers and buyers in purchases of Broker-Dealers (BD) and Registered Investment Advisors (RIA) and other firms of investment. Besides the regulatory expertise needed to make these purchases in the investment industry, the firm has a wide knowledge of the business concerns that are vital in finishing such purchases representing either the seller or the buyer.
This knowledge is necessary for completing successfully new membership and continuing membership applications before different exchanges like CHX, CBOE, and NYSE and organizations that are self-regulatory like Financial Industrial Regulatory Association (FINRA), and National Association of Security Dealers (NASD). The firm arranges and gets regulatory approvals for federally registered investment advisors (RIAs) and state registered financial advisors.
Financial Advisor Lawyers in Chicago
There are financial advisor lawyers in Chicago who advise different financial institutions on a wide range of issues. Their advice will be sought if your firm or you are going through regulatory or compliance issues with day to day business matters or facing litigation. They have worked in business, accounting, and securities industry and know from whence you come.
The coupling of business and legal knowledge makes financial advisor lawyers in Chicago the trusted advisers to banks, trust companies, depository institutions, broker-dealers, independent contractors, financial planners, registered investment advisers and other firms of financial services handling compliance matters, complex disputes, and everyday counseling. The lawyers have an ongoing working relationship with regulators.
Money Management Lawyer of Chicago
The lawyer is actively involved in the management and organization of pooled money in the form of private funds and hedge funds. The company advises RIAs, money managers and helps customers in operating hedge funds which include preparation of private offering memorandums (POM), private placement memorandums (PPM), Form ADV, parts I, 2A and 2B, and Form PF.
They prepare compliance manuals when required and relating documents that are needed by the JOBS Act and Dodd-Frank. The firm can complete and file forms 13D and 13F through the filing system of SEC’s EDGAR and making filings on IARD and CRD systems.
Securities and Financial Services Lawyers
Broker/Dealers rely on securities and financial services lawyers for assistance and compliance consulting and other industry advice which includes
- Forming and Structuring brokerage firms
- Assisting with ongoing communications with regulators
- Making or providing directions on policies, guidelines, policies for administration and implementation of complex and alternative products
- Drafting compliance manuals and disclosure documents
- Reviewing business areas, business practices, and auditing
- Preparing product-specific acknowledgments
- Advising on regulatory and compliance issues
- Responding to regulatory initiatives like MCDC and SEC’s program
- Creating customer employment/succession planning agreements
- Conducting internal investigations
Chicago Securities Attorneys are well versed with SEC and FINRA problems and represent buyers and sellers with Broker-Dealers