Hurni & West LLP lawyers regularly advise clients on securities regulatory matters, investment management, as well as providing counsel on corporate and transactional matters. Hurni & West LLP provide regulatory and financial compliance expertise to the broker-dealer industry, advising on all relevant federal, state and SRO statutes or rules such as the Securities Act of 1933, the Securities Exchange Act of 1934, the USA PATRIOT Act, Sarbanes-Oxley and Gramm-Leach-Bliley, as well as all the rules of FINRA and other industry SROs, the MSRB and state “blue sky” laws. We guide companies through SRO (e.g. FINRA) new member application processes 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 250 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. We also represent proprietary trading firms, market makers, alternative trading systems, and dual-registered firms.