Broker-Dealer Regulation

Qashu & Schoenthaler LLP advises individuals, entities, placement agents, broker-dealers and investment banks with regard to a wide range of complex corporate finance and securities transactions as well as compliance with securities and regulatory matters, including broker-dealer formation and preliminary registration, continuing membership applications, trading and market making practices, supervisory policies and procedures, compensation issues, net capital requirements and national securities exchange, financial industry regulatory authority (FINRA) and other self-regulatory organization reporting obligations.

We also advise clients with regard to broker-dealer registration requirements, the exemptions and exclusions from registration and issues that arise in connection with finders and consultants.