Investment Advisers / Broker-Dealers

BuckleySandler regularly counsel investment advisers and broker-dealers on the laws, rules, and regulatory developments affecting their businesses.

Issues we advise on include:

• Day-to-day compliance
• Regulatory requirements
• Risk management 
• Licensing and registration
• Sales and marketing practices and materials
• Manuals and training

To learn more about our Investment Adviser services, click here.

To learn more about our Broker-Dealer services, click here.