Broker-Dealers & ATS Platforms
Manage relationships with the SEC, FINRA and state regulators effectively
What We Offer
Navigate the broker-dealer and ATS regulatory landscape with an advisor who’s done it—across digital assets, private markets, and unregistered and registered securities.
We help you secure licensing and approvals and build out onboarding and compliance infrastructure tailored to your marketplace and services.
How We Help Fintech Clients
- Handle full-cycle registration for BD and ATS entities
- Draft supervisory procedures and trading rules
- Align product design with regulatory expectations
- Manage compliance examinations by the SEC, FINRA or state regulators
- Guide compliance for crypto and blockchain-based trading platforms
Relevant Experience
- Secured regulatory approvals for multiple broker-dealers and ATS platforms
- Built compliance operations for digital asset exchanges
- Drafted onboarding process and trading rules for multi-broker trading platform
- Navigated multiple SEC, FINRA and state examinations of registered broker-dealers and ATS platforms with minimum exam findings
- Secured regulatory approvals for multiple broker-dealers and ATS platforms
- Built compliance operations for digital asset exchanges
- Drafted onboarding process and trading rules for multi-broker trading platform
- Navigated multiple SEC, FINRA and state examinations of registered broker-dealers and ATS platforms with minimum exam findings
When to Call Us
You’re building a trading platform, applying for broker-dealer or ATS approval, or undergoing a compliance examination with your regulator—and want expert guidance to help you smoothly navigate the process.