Securities Regulation
Securities Regulation
services, include:
- Broker-Dealer registration
- Investment Adviser registration
- Broker-Dealer compliance systems and reviews
- Investment Adviser compliance systems and reviews
- Supervisory and compliance procedures
- Advertising issues
- Customer & advisory agreements
- Regulatory inquiries
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Securities Regulation Services
| Since 1979, Cynthia King has advised broker-dealers and investment advisers regarding securities industry regulatory and compliance issues.
She has extensive experience registering new advisors and broker-dealers, setting up securities compliance programs and ongoing review of compliance programs.
303-258-7200
Boulder, Colorado
480-285-1765
Phoenix, Arizona |
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