Attorneys at Law

Practice Areas

Broker-Dealer Securities Regulations

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Our Broker-Dealer Securities Regulation attorneys counsel and represent a wide range of clients engaged in the securities industry who provide brokerage, investment banking and investment advisory services, which include full service broker-dealers, discount brokers, exchange specialists, direct access and floor brokerage firms, hedge funds, investment managers, and banks.
 
Our attorneys have broad-based experience in the broker-dealer, regulatory, and advisory areas. Barton clients benefit from our ability to draw upon the expertise of our attorneys in other practice areas to provide a comprehensive blend of backgrounds and supply a full complement of legal services to our securities clients.
 
The securities industry is highly regulated and it is relatively easy for a securities firm and/or its employees to inadvertently fail to observe all of the rules and regulations. Moreover, regulators are under increasing pressure to extract heavy penalties, most often in the form of a monetary fine, for even the slightest infractions by a securities firm and/or its employees. The attorneys in Barton’s Securities Regulatory Group realize that individuals employed in the securities industry want to focus on the business at hand and not waste precious resources dealing with extraneous regulatory matters. We counsel our clients so that interactions with regulators are both minimal and trouble-free when they do occur.
 

The Securities Regulatory Group is called upon to advise clients on matters that are directly related to their securities activities, including:

  • Formation and Capital Structure
  • Membership Applications
  • Registration Issues
  • Floor Trading Violations
  • Examinations, Investigations, and Enforcement Proceedings

Clients also request the Securities Regulatory Group to provide counsel in many of the following areas:

  • Procedures, Policies, and Programs
  • Written Supervisory Procedures
  • Anti-Money Laundering Procedures
  • Continuing Education Programs
  • Business Continuity/Disaster Recovery Plans

Investment and Advisory Firms:

  • Fund Structure and Formation
  • Performance Fees
  • Performance Disclosures; Section 206(4); Solicitation Fee Agreements
  • Customer Account Structures, including Wrap Fee Issues
  • Conflicts of Interest
  • Section 28(e) and Soft Dollars
  • Form ADV Disclosure Issues

Investigations and Arbitrations:

  • Regulatory Examinations/Audits/SEC and SRO Inquiries
  • Market Surveillance and Enforcement Investigations and Proceedings
  • Wells Submissions
  • Arbitrations and Mediations

Employment and Registration:

  • Employment and Consulting Agreements
  • Forms BD, U-4, and U-5
  • Licensing, Registrations, and Disqualifications
  • Wrongful Termination