Broker-Dealer Services

McCormick & O達rien LLP provides regulatory and financial compliance expertise to the broker-dealer industry. We guide companies through The Financial Industry Regulatory Authority (FINRA) new member application process and through changes or amendments to their existing broker-dealer business models. Our attorneys and staff have been involved in the formation or ongoing compliance efforts of over 200 financial services industry firms. We assist clients in negotiating clearing agreements, structuring back office operations, and work closely with accountants and other service providers in the industry.

With regard to Compliance, McCormick & O達rien provides Broker Dealers with customized comprehensive compliance programs.  The compliance program can be tailored to include:

• Written Supervisory Procedures andCompliance Manuals
• Financial and Operations Principal Registration
• Financial Recordkeeping and financial statement production and support
• Continuing Education Plans and Needs Analysis
• Anti-Money Laundering Compliance Plans & Audits
• Business Continuity Plans
• Annual Compliance Meetings
• General Compliance and Consulting
• FINRA Web Applications (Registration)
• Review of Business Operations
• SRO Examination Preparation
• In addition to our attorneys, we have accountants, finance professionals, registration specialists and compliance specialists on staff.

Investment Advisor Services

McCormick & O達rien LLP provides extensive registration services to both firms and individuals interested in Investment Adviser registration at the state and SEC level.  We explain in detail the SEC and state registration process and requirements, assist you in structuring your firm痴 investment advisory programs, prepare your investment advisor registration documents and serve as your liaison with the SEC or state securities regulators. By utilizing the expertise, experience and efforts of our consultants for such a significant undertaking, you will be able to better leverage your time and focus upon growing your new investment advisory business.

With regard to Compliance, McCormick & O達rien provides Investment Advisers with customized comprehensive compliance programs.  The compliance program can be tailored to include:

• Develop Narrative versions of Form ADV
• Calendar, Reminders, Checklists & Forms.  
• Code of Ethics & Supervisory Procedures.  
• Form ADV.  
• Solicitor Disclosures and Agreements.  
• Wrap Program.  
• IARD Service Bureau.  
• IAR Registration Analysis.  
• Advertising Review.  
• Fee Audit.  
• Review of quarterly personal securities transactions and annual holding reports.
• Qualitative analysis of best execution.
• Compliance Training.
• Compliance Committee Meetings.
• Annual Review/Compliance Assessment.
• Mock SEC examination of your investment advisor.
• Preparing and submit Form13F and Schedule 13G filings via EDGAR