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Weston Patrick, P.A.

A Professional Association Since 1897

Corporate, General Business, Non-Profits

Broker-Dealer and Investment Advisor Regulation

The Broker-Dealer Practice Group at Weston Patrick counsels broker-dealers, including independent broker-dealers and the broker-dealer affiliates of major financial institutions on a full range of issues related to compliance, regulation and enforcement by the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Municipal Securities Rulemaking Board (MSRB).

Our team includes a former President and General Counsel of a FINRA/MSRB registered broker-dealer. We take a financial services based approach to advise our clients on all regulatory compliance and enforcement issues unique to the securities industry, including:

  • Application, formation and registration of broker-dealers;
  • Development and application of internal compliance, and supervisory procedures;
  • Records retention, reporting and privacy policies; and
  • Sales practices, including advertising, marketing, and other customer communications.

The Investment Advisor Practice Group at Weston Patrick counsels investment advisors, and other service providers in a wide range of regulatory and disclosure matters. We also represent sponsors, advisors and service providers to Section 529 college savings plans and prepaid tuition plans.

updated: 4 years ago

Each attorney in this association is an independent professional who is not responsible for the practice or liability of any other attorney in the association except for those directly employed by or practicing in partnership with that attorney.