Regulations

Mr. Koch has assisted brokers and brokerage firms in their registration and compliance matters, including the startup of new broker-dealers for over 20 years. From incorporation through shareholder and employment agreements, and throughout the registration process with the SEC, FINRA, CFTC and NFA we have assisted dozens of firms in their development and supervision of securities and commodities rules and regulations. As the regulatory environment has become more complex and litigious, we have assisted brokers and financial professionals in all regulatory forums.