The financial industry is quite complicated and there are times when you may need a securities attorney. They specialize in assisting brokers and brokerage firms in compliance matters, registration, and even in the startup of a new broker. With all of the laws, rules, and regulations involving securities, you must have an experienced securities attorney in order to protect your interests.
Securities attorneys can also help develop policies and procedures for your firm, as well as employment and shareholder agreements. Contracts and other forms must stand up to the highest level of scrutiny, especially should this paperwork ever end up in court.
Some securities attorneys also perform work in the investment arena. This type of work might include assisting brokers in the transition to financial advisors, negotiating severance packages, and waivers of non-compete clauses. These are just a few of the tasks that securities attorneys are qualified to handle.
Since there is so much governmental regulation in the securities and investment industry, it’s imperative to find a securities attorney that is experienced and possesses a high level of ethics. Ask your friends, family members, and other business owners whom they would recommend. Do your research ahead of time to ensure that the securities attorney you choose has an outstanding track record.
Securities attorneys fulfill a special need into today’s society. They are responsible for a lot of the work that goes on behind the scenes that affects the stock exchanges and Wall Street. It’s important that you get this choice right.
