Broker/Dealers

Vedder Price provides a variety of legal services for its diverse securities broker-dealer clients. The firm represents many broker-dealer affiliates of investment adviser and bank clients and also serves as counsel to independent broker-dealer firms. Vedder Price attorneys are experienced in SEC broker-dealer registrations, various state registrations and NASD membership matters, as well as various broker-dealer regulatory and compliance matters. The firm also prepares dealer, customer and clearing agreements, supervisory procedures manuals, employment agreements and other related documents. In addition, the firm represents its broker-dealer clients in their civil litigation matters, SEC and self-regulatory organization proceedings and enforcement activities.

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