{"id":920,"date":"2021-03-19T18:28:57","date_gmt":"2021-03-19T18:28:57","guid":{"rendered":"https:\/\/www.rimonlaw.com\/?post_type=expertise&#038;p=920"},"modified":"2023-01-31T20:36:52","modified_gmt":"2023-01-31T20:36:52","slug":"broker-dealers","status":"publish","type":"expertise","link":"https:\/\/www.rimonlaw.com\/expertise\/broker-dealers\/","title":{"rendered":"Broker Dealers"},"content":{"rendered":"<p>Rimon advises broker-dealers regarding the full range of legal and regulatory issues arising in their businesses, including:<\/p>\n<ul>\n<li>Preparation and negotiation of new member applications with FINRA<\/li>\n<li>Preparation and implementation of written supervisory procedures and compliance procedures<\/li>\n<li>Regulatory and transactional advice regarding significant business developments, including changes in the scope of business, acquisitions and divestitures, financings, and international expansion<\/li>\n<li>Preparation and negotiation of engagement agreements with financial advisory clients<\/li>\n<li>Assistance with regulatory audits and examinations<\/li>\n<li>Representation in FINRA and other arbitration proceedings as well as traditional litigation matters<\/li>\n<li>\u201cOutsourced general counsel\u201d functions, including clearing and custody agreements, account opening forms, prime brokerage agreements, technology licenses, and employment agreements<\/li>\n<\/ul>\n<p>Rimon\u2019s broker-dealer practice has a special emphasis on representing firms primarily engaged in merger and acquisition advisory and private capital raising services. Our attorneys\u2019 extensive experience as in-house counsel at major investment banks gives us a unique perspective to realize business goals while protecting the client from legal liability. In this regard, we advise clients as to whether the nature of their business activities requires broker-dealer registration.<\/p>\n","protected":false},"featured_media":0,"template":"","expertise_category":[167,22],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v22.4 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Broker Dealers - Rimon Law<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.rimonlaw.com\/expertise\/broker-dealers\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"Broker Dealers - Rimon Law\" \/>\n<meta property=\"og:description\" content=\"Rimon advises broker-dealers regarding the full range of legal and regulatory issues arising in their businesses, including: Preparation and negotiation of new member applications with FINRA Preparation and implementation of written supervisory procedures and compliance procedures Regulatory and transactional advice regarding significant business developments, including changes in the scope of business, acquisitions and divestitures, financings,&hellip;\" \/>\n<meta property=\"og:url\" content=\"https:\/\/www.rimonlaw.com\/expertise\/broker-dealers\/\" \/>\n<meta property=\"og:site_name\" content=\"Rimon Law\" \/>\n<meta property=\"article:modified_time\" content=\"2023-01-31T20:36:52+00:00\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:label1\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data1\" content=\"1 minute\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\/\/www.rimonlaw.com\/expertise\/broker-dealers\/\",\"url\":\"https:\/\/www.rimonlaw.com\/expertise\/broker-dealers\/\",\"name\":\"Broker Dealers - 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