Law Office of Peter Flynn
Broker/Dealer and Investment Advisor Regulatory Solutions

My practice specializes in helping firms, in a highly individualized basis, in meeting the obligations imposed under SEC, State and self regulatory rules and regulations. From a broad based experience as both a regulator, having served in a variety of senior positions at the Securities and Exchange Commission, and as a front line compliance professional serving as General Counsel, Chief Compliance Officer and Financial and Operational Principal for a Boston based investment banking firm, I bring a depth of experience in the day to day issues facing broker/dealers and investment advisers.

Some of the broad array of services offered to Firms, CEO?s and compliance and operational professionals include:

Coordinating SEC/NASD examinations:

  • Preparing for the exam
  • Responding to inquiries
  • Review (and participate) in Exit Interviews
  • Draft response to Exit Interview letters

Support for the Compliance Officer:

  • Special projects
  • Regulatory issues and questions
  • Continuing updates on current trends
  • Temporary Financial and Operational Principal services
  • Continuing Education analysis and design
  • AML annual Reviews

Annual CEO certification reviews

Guidance for senior managers on an ad hoc basis and conducting internal reviews and investigations

General Counsel services:

  • Reviewing vendor contacts
  • Employment Agreements
  • Corporate Governance matters

Please call to arrange a meeting to answer your questions and to see how your firm can augment its compliance efforts.