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Broker-Dealer and Investment Advisors

Ice Miller provides advice and guidance to broker-dealers, investment advisers, fund managers and other financial intermediaries on compliance with federal securities laws, state blue sky laws and other applicable rules and regulations of the SEC and FINRA.

We provide our broker-dealer and advisory clients with a full range of corporate, securities, mergers and acquisitions, tax and other services in connection with their daily brokerage and advisory activities and the registration, formation and acquisition of regulated entities.

We regularly advise clients on the applicability of broker-dealer and investment adviser registration requirements and we have comprehensive experience in structuring various types of private funds, including private equity funds, hedge funds and venture capital funds. As a full service law firm, we can call upon the deep bench strength of our attorneys from various practice areas to respond to regulatory inquiries, defend enforcement and disciplinary actions and assist in the performance of internal audits and investigations. We also assist our clients with the development of policies and procedures for the conduct and supervision of their brokerage and advisory businesses.


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