• Home
  • Our Firm
  • Profesional Profiles
  • Legal Matters
  • Representative Clients
  • Contact
  • Estate Planning

  • Asset Recovery/Estate Replenishment

  • Probate and Trust Administration

  • Financial Advisers Only

  • Personal Financial Challenges

  • Broker-Dealer

  • Registered Investment Adviser/RIA

  • Corporate/Business Law

  • Employment Law

  • Criminal Defense

Broker Dealer

Please select from one of the following items.
 

    Broker Dealer

  • • Securities and Exchange Commission (“SEC”) Comments

    • Licensing and Registration

    • Regulator Inquiries

    • Customer complaints: identification, characterization, compromise, resolution and settlement

    • FINRA mediation and arbitration

    • Gramm Leach Bliley’s Reg. S-P, Privacy Policy and Waiver

    • FINRA Rule 3012-3013 Testing and Verification

    • WSP and Compliance Manual Drafting/Consultation

    • Exception Reports

    • Mock Branch/OSJ Audit

    • Audit Preparation/Consultation

    • Audit Response

    • Annual Compliance Meeting and Questionnaire

    • Firm Element and Continuing Education

    • Outside Business Activities

    • Background Checks/Advisor Profiling

Home | Our Firm | Links | Legal Matters | Representative Clients | Contact

Email: Mark@meclawfirm.com | Phone: 952.443.4004

Copyright 2008 © Czuchry Law Firm | Minneapolis Web Design | Web Design Minneapolis