Broker-Dealer Due Diligence
- Protect Your Firm
- Protect Your Clients
- Protect Your Employees
- Focus on the Services You Do Best, Not Compliance
- Let Us Create a Due Diligence File for You
For a fixed fee, typically paid by the issuer, we will perform any of the following compliance services, and provide you with a complete issuer due diligence file for your records:
- Due Diligence for Regulation D Private Placements;
- Due Diligence for Form 211 and 15c2-11 Applications;
- Due Diligence on Management or Auditors.
We’ll back up our work! At your request, we will attend, in person, portions of your FINRA audit to defend the work we have done.
References from other broker-dealers available.
Related articles:
- Broker-Dealer Know-Your-Customer and Suitability Obligations
- Broker-Dealer Due Diligence Responsibilities in Regulation D Offerings
- Free Fallin’ – From NASDAQ to the Pink Sheets
- DTC: The Final, Final Hurdle
- Issuer Purchases of Their Own Common Stock in the Open Market
- What if One of my Service Providers is Under SEC Investigation?
- Rule 144 Resales – a Practical Outline
- FINRA Comments Are Leaving Many Startup Companies “Shell” Shocked
- And More.
The Lebrecht Group, APLC provides comprehensive advice on a variety of corporate and securities law matters. Please contact us if you have any questions.
