In addition to litigation and transactional counseling, broker/dealers routinely engage Gusrae, Kaplan, Bruno & Nusbaum for the following legal services:

• Formation.
• Creation of written supervisory procedures and compliance-related counseling.
• NASD Rule 1017 continuing membership applications.
• NASD Rule 3012 and 3013 compliance.
• NASD MC 400 proceedings.
• Anti-money laundering compliance.
• Internal investigations.
• Forms U4, U5 and RE-3 disclosures.
• NYSE and AMEX membership applications.

Contact David A. Gehn, Esq., Martin H. Kaplan, Esq. or Contact Us online.

Our related practice disciplines include regulatory and enforcement, broker/dealer advisory services, commercial and employment litigation, corporate and securities, and white-collar criminal defense.

Contact us online or call us today at 212.269.1400.