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Broker Dealers

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 and international expansion.
  • Preparation and negotiation of engagement agreements with financial advisory clients.
  • Assistance with regulatory audits and examinations.
  • Representation in FINRA and other arbitration proceedings as well as traditional litigation matters.
  • “Outsourced general counsel” functions, including clearing and custody agreements, account opening forms, prime brokerage agreements, technology licenses and employment agreements.

Rimon’s broker-dealer practice has a special emphasis on representing firms primarily engaged in merger and acquisition advisory and private capital raising services.  Our attorneys' 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 require broker-dealer registration.


Rimon Partners With Extensive Experience Representing Broker Dealers Include: