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Franchise & Securities Law

Specialized law firm serving investment advisors, trading businesses, and financial services companies. Expert in entity formation, regulatory compliance, securities law, and business structuring for trading firms.

Overview

Products & Services

Trading Business Entity Formation

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LLC and corporate structure setup for trading businesses, including multi-member trading entities, profit-sharing structures, and asset protection strategies for professional traders.

  • Trading LLC formation
  • Multi-member trading structures
  • Asset protection
  • Operating agreements
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Investment Advisor Registration

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SEC and state investment advisor registration, compliance setup, and ongoing regulatory support for traders managing outside capital.

  • SEC registration
  • State IA registration
  • ADV preparation
  • Compliance procedures
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SEC & FINRA Compliance

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Securities compliance services including regulatory filings, FINRA compliance, and ongoing regulatory defense for trading firms.

  • Securities compliance
  • FINRA regulatory support
  • Regulatory defense
  • Securities offering documentation
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Trading Partnership & Fund Agreements

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Legal documentation for trading partnerships, small trading funds, and profit-sharing arrangements between traders.

  • Partnership agreements
  • Fund documentation
  • Profit-sharing structures
  • Business succession planning
Learn more

Competitive Analysis

Proposition: Specialized securities law for trading businesses since 1995; deep expertise in investment advisor registration, SEC/FINRA compliance, and trading entity formation

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Av Ricardo J. Alfaro, Century Tower, Panama City, Panama, Ph: +507 833-9432 (Panama and Intl), +1 888-312-3001 (USA and Canada)
All information is for educational use only and is not investment advice. There is a substantial risk of loss in trading commodity futures, stocks, options and foreign exchange products. Past performance is not indicative of future results.
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