November 30, 2021

Volume XI, Number 334

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James A. Arpaia

James A. Arpaia is a Shareholder at Vedder Price and a member of the firm’s Investment Services group.

Mr. Arpaia provides comprehensive representation of securities broker-dealers, investment advisers and mutual funds regarding regulatory, compliance and litigation matters. He has extensive experience with management and operational issues associated with securities brokerage and investment management businesses, as well as with securities transactions, product design, general corporate and transactional matters; and litigation and enforcement proceedings. He has represented clients on a broad range of legal, regulatory and business matters, including:

  • Providing advice and responding to questions on federal and state securities laws and regulations, and FINRA and other SRO rules relating to broker-dealers, investment advisers and mutual funds
  • Representing and defending firms and individuals in arbitrations and mediations, and in investigations and enforcement proceedings initiated by the SEC, SROs and state agencies
  • Providing guidance on regulatory, compliance and operational issues
  • Conducting internal investigations
  • Advising firms and individuals on reporting requirements under Forms U-4, U-5, BD and ADV
  • Developing and/or reviewing compliance, operations and written supervisory manuals
  • Representing firms with formation and registration, FINRA membership processing, regulatory filings and processes relating to changes in ownership, control and business, and successor broker-dealer and investment adviser registration by application and amendment
  • Providing counsel on exemptions and exclusions from broker-dealer, investment adviser and securities registration
  • Representing firms in product development and marketing and distribution matters
  • Reviewing business programs and reviewing/drafting related agreements and disclosure materials
  • Reviewing/drafting all types of business-to-business and client agreements used in the financial services industry
  • Advising on implementation of best practices on a wide range of issues including those relating to supervision, customer and internal communications, marketing and advertising, net capital rules, customer protection rules, books and records rules, best execution, commissions and markups/markdowns, and research reports
  • Advising banks on various securities and broker-dealer activities permitted by the Gramm-Leach-Bliley Act
  • Acting as counsel in corporate and transactional matters, including reorganizations and related regulatory and registration matters
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Articles in the National Law Review database by James A. Arpaia

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