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Broker-Dealer Regulation

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Our Clients

Our diverse group of broker-dealer clients includes nearly all of the largest full-service broker-dealers and investment banks, large online brokerage firms, proprietary trading firms, hedge fund and private equity fund third-party marketers, "captive" broker-dealers owned by hedge funds or investment advisers, clearing firms, and insurance company-affiliated broker-dealers.

Our Services

Recognizing that broker-dealers operate under intense regulatory scrutiny and that the consequences for non-compliance with applicable requirements can be severe, Katten's Broker-Dealer Regulation team helps clients resolve complex legal and regulatory issues as they arise and adopts a proactive approach to compliance to avoid problems before they occur. Katten attorneys have worked in house for broker-dealers and for regulatory agencies, including the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and the New York Stock Exchange (NYSE), bringing the established relationships and inside perspective needed to effectively clear regulatory hurdles for clients.

We advise on all aspects of broker-dealer formation and operation, including registration, reporting, trading, research, advertising, net capital, margin and supervision. Our capabilities extend to virtually all relevant investment products, including equity securities, bonds, municipal securities, government securities, mutual funds, hedge funds, annuities and life insurance, exchange-traded and over-the-counter (OTC) equity and index options, and direct participation programs.

Our extensive experience in the field enables us to handle even the most complex transactions involving transfers of ownership interests in broker-dealers. Our attorneys routinely draft brokerage agreements, compliance manuals (including trading, research, institutional, retail and market making), employee trading policies, privacy policies, and business continuity plans. Katten also represents its broker-dealer clients in regulatory and self-regulatory enforcement investigations and proceedings.

From assisting in the formation and registration of new broker-dealers to litigating customer disputes and handling regulatory inquiries, examinations and investigations, Katten's Broker-Dealer Regulation team provides comprehensive legal counsel that speaks directly to our clients' business needs in today's challenging regulatory environment.

Firm News
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March 28, 2016
March 7, 2018
November 2–3, 2017
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FOW Trading Amsterdam | Amsterdam, The Netherlands
January 25–26, 2016
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June 19–20, 2013
June 12, 2013
Hedge Funds Under Siege | New York, New York
May 7–10, 2013
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March 17–20, 2013
January 22–24, 2013
Broker-Dealer Regulation


Chambers Global – Investment Funds: Hedge Funds
Investment Funds: Hedge Funds, 2014
Legal 500 UK – Financial Services
Financial Services, 2012
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Investment Funds: Hedge Funds, 2014
Financial Services, 2012
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