Broker/Dealer Advisory Services
In addition to litigation and transactional counseling, broker/dealers routinely engage Gusrae Kaplan 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.
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