Barbara Mallon

My practice is focused exclusively on advising investment advisers and broker-dealers for the purpose of maintaining regulatory compliance for those entities.  To that end, my primary activities in advising clients are the following: 1) consulting on SEC, FINRA and state regulations and compliance with those regulations, 2) preparing clients for regulatory examinations and assisting with deficiency letter responses, 3) defending regulatory clients in SEC, FINRA, state and private actions regarding the same,  4) conducting annual reviews, 3012 reviews, focused reviews, and AML testing for my regulated clients,  5)assisting clients with registrations and form filings including Form BD, ADV, Part1A and 2A, Form PF and ancillary state filings, and 6) training my clients' representatives through Firm Element training and annual compliance meetings in order to meet regulatory obligations and further a culture of compliance.