Broker-Dealers

WGK-Compliance-Reg-Logo-FNL-300x195We assist broker dealers with a wide variety of regulatory and compliance related matters, including:

Application and Registration

  • FINRA Initial Membership Applications
  • Prepare and file initial Form BD
  • Form BD amendments and Disclosure Reporting Pages
  • Resolution of registration delays and negotiation of registration agreements
  • Form U-4 and Form U-5 filings, including amendments and disclosure reporting
  • FINRA Continuing Membership Applications
  • FINRA membership withdrawal and firm wind down.
  • Partial and full withdrawal filings (Form BDW)

Documentation

  • Draft policies in connection with regulatory amendments
  • Create manuals reflecting firm compliance procedures
  • Revision of written Supervisory Procedures and Compliance Manuals

Other Services

  • Regulatory guidance in connection with mergers, acquisitions and consolidations
  • Annual Compliance and Supervisory Processes Review (FINRA Rule 3012)
  • Internal investigations and mock audits
  • Litigation support including E-mail reviews and document production
  • Representation in connection with litigation, regulatory investigations and enforcement actions

For more information, contact Dionne Fajardo at dfajardo@wiandlaw.com or 813.347.5100.