STEVE MUELLER LEGAL SERVICES

BROKER DEALERS:

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Steve Mueller Legal Services represents broker-dealers in connection with a wide range of activities including (but not being limited to):

• Registration,

• Retail customer services,

• Capital Markets Activities,

• Trading,

• Private Placements, and

• Investment Company and Private Fund Distribution. 

Steve Mueller is experienced in the legal, regulatory, compliance, risk management and operational issues impacting broker-dealers and assist clients with Securities and Exchange Commission (SEC) registrations and Financial Industry Regulatory Authority (FINRA) membership.

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Some of the services we provide to broker-dealer clients include (but is not limited to):

• Registration, including drafting of Form BD (and ADV 1 & 2);

• Providing advice on compliance with reporting obligations;

• Drafting policies and procedures, supervisory procedures, exception reporting, continuing education and heightened supervision plans;

• Preparing and reviewing disclosure documents, underwriting and selling group agreements, contracts and sunset arrangements with registered representatives, and fee sharing agreements;

• Reviewing advertising and promotional materials;

• Providing guidance on SEC net capital requirements;

• Providing advisory on the sale, acquisition and mergers of broker-dealers;

• Assisting with internal investigations and compliance audits;

• Assisting with preparations for SEC, FINRA and state securities commission examinations, responding to any adverse findings and negotiating the terms of a resulting actions; and

• Providing counsel in connection with customer and member to member arbitration proceedings and litigation.

Steve Mueller Legal Services also works with a variety of clients to analyze their organizations’ practices and structures to determine whether they are engaging in broker and/or dealer activity requiring registration.

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