Registration and Regulatory Compliance Counsel to Broker-Dealers and Investment Advisers

The LeGaye Law Firm, PC, together with its affiliated regulatory support company, LeGaye Regulatory Support Services, LLC (collectively, the “LeGaye Law Group”), provides regulatory, compliance, and legal services to broker-dealers, investment advisers, and other financial services firms. We assist clients throughout the regulatory life cycle, from registration through ongoing regulatory compliance, examinations, and business changes. Our experienced professionals combine regulatory expertise with practical industry experience. We help firms understand their obligations, develop effective compliance programs, and confidently address regulatory matters as their businesses evolve.

Start or Maintain your Regulated Firm

Broker-Dealer / BD Registration & FINRA Membership

The LeGaye Law Group assists firms with the broker-dealer registration process, including FINRA New Member Applications, Continuing Membership Applications, SEC and state registration, Form BD, business plans, Written Supervisory Procedures, and preparation for the FINRA membership interview.

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RIA / Investment Adviser Registration

The LeGaye Law Group assists investment advisers with SEC and state registration, including Form ADV preparation and filing, client advisory agreements, investment adviser representative registrations, compliance policies and procedures, Codes of Ethics, privacy policies, business continuity plans, and the regulatory and compliance infrastructure necessary to launch an investment advisory firm.

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Regulatory, Compliance and Legal Services for Broker-Dealers and Investment Advisers

The LeGaye Law Group provides regulatory, compliance, and legal services to broker-dealers, registered investment advisers, and other financial services firms. We assist clients throughout the regulatory lifecycle, from broker-dealer and investment adviser registration through ongoing regulatory compliance, examinations, and business changes. Our experienced professionals combine regulatory expertise with practical industry experience to help firms understand their obligations, develop effective compliance programs, and address regulatory matters as their businesses evolve.

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Corporate & Organizational Services

The LeGaye Law Group provides corporate, organizational, and transactional services to financial services firms and other businesses. We help clients with business formation and structuring, corporate governance, commercial transactions, and preparing, reviewing, and negotiating contracts and agreements. Our services include purchase and sale agreements, investment advisory agreements, brokerage and broker-dealer agreements, operating and shareholder agreements, employment and independent contractor agreements, confidentiality agreements, and other commercial contracts tailored to clients’ business, operational, and regulatory needs.

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