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Broker-Dealers & Investment Advisers

Practice Overview

Buckley Sandler advises broker-dealers and investment advisers on the full spectrum of compliance and regulatory issues affecting their operations. We counsel broker-dealers on issues that arise in dealing with clients, the public, investment advisers, hedge funds, mutual funds, and banks. Our team helps determine whether certain activities require registration under the Securities Exchange Act of 1934, whether certain affiliated lender and depository institution cross-sell programs (including the marketing of residential mortgage loans) require state licensure or federal registration, as well as assist with structuring such programs. We draft policies and procedures pertaining to privacy, data security, and anti-money laundering (AML). We also analyze sales practices pertaining to mutual funds and variable annuities, and draft disclosure documents and customer and third-party agreements.

We counsel investment advisers on meeting their federal and state compliance and regulatory obligations and on the full array of banking rules and regulations that govern advisers affiliated or doing business with banks. We also help our clients to determine whether certain activities, such as receiving compensation for referrals, require registration under the Advisers Act or state law.

In addition to providing regulatory and compliance advice, we also assist clients in preparing for and responding to Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), and stock exchange document requests, examinations, inquiries, and enforcement proceedings.

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