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GREGORY LEVINE
Managing Partner, Broker-Dealer And Investment Advisor Services Group
212.480.4147
Greg provides legal, regulatory and compliance counsel to the broker-dealer and investment advisor industry. He guides companies through the National Association of Securities Dealers, Inc. ("NASD") new member application process and through changes or amendments to their existing broker-dealer business models. He also forms SEC and state-registered investment advisors.
Greg has been involved in the formation or ongoing compliance efforts of over 100 financial services industry firms. He assists clients in negotiating clearing agreements, structuring back office operations, and works closely with accountants and other service providers in the industry.
Greg more specifically provides representation and support in the following areas:
* Written Supervisory Procedures and Compliance Manuals
* Continuing Education Plans and Needs Analysis
* Anti-Money Laundering Compliance Plans & Audits
* Business Continuity Plans
* Annual Compliance Meetings
* General Compliance and Consulting
* NASD Web Applications (Registration)
* Review of Business Operations
* SRO Examination Preparation
* Corporate Formation and GovernanceIn mid-2004, Greg founded Modern Regulatory Services LLP, a financial services compliance consultancy forming broker-dealers and investment advisors. Greg received his J.D. from New York Law School and a B.S. in Political Science from Richard Stockton College, New Jersey. He is admitted to practice in the State of New York.
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