Michael Weissmann represents national and regional broker-dealers, investment advisers and registered representatives in customer arbitrations, in court, and in regulatory proceedings and investigations before the SEC, FINRA (and its predecessors NASD and NYSE Regulation), and state regulators. He regularly advises broker-dealers and investment advisers on developing policies and procedures and on compliance with federal and state securities laws and regulations and SRO rules on a variety of topics, including supervision, sales practices, broker and representative registration, introducing/clearing relationships, and record retention.