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Start a Broker/Dealer
All you need to know about starting a FINRA registered Broker/Dealer
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The HedgeCo Consultants aren't lawyers, but we have a vast network of affiliated law firms. Our in depth knowledge of your business model, budgetary requirements, and compliance needs allows us to identify an affiliated law firm that will fulfill your firm's needs.
Furthermore, all our services are provided with oversight from our network of attorneys. In many cases, the advice and services offered will qualify as confidential communications with counsel and are protected under the attorney/client privilege. Our legal services include:
10b-5 Securities Fraud
Shareholder derivative actions
FINRA arbitration support
Litigation support and trends
Cost basis reporting requirements via the TARP Act
Foreign Corrupt Practices Act due diligence
Cyber fraud
Ethical and legal dilemmas