Drafting broker-dealer customer agreements manually requires extensive research across FINRA rules, SEC regulations, and Regulation T requirements. Attorneys spend hours cross-referencing compliance guidelines, updating risk disclosures, and ensuring every fee structure and margin provision meets current regulatory standards, all while managing the risk of missing critical regulatory language.
Drafting broker-dealer customer agreements manually requires extensive research across FINRA rules, SEC regulations, and Regulation T requirements. Attorneys spend hours cross-referencing compliance guidelines, updating risk disclosures, and ensuring every fee structure and margin provision meets current regulatory standards, all while managing the risk of missing critical regulatory language.
CaseMark automates the entire drafting process by pulling verified regulatory language from FINRA, SEC, and industry sources in real-time. The platform generates comprehensive, compliant broker-dealer agreements with proper risk disclosures, arbitration clauses, and margin provisions in minutes, not hours, while maintaining full regulatory accuracy.
This workflow is applicable across multiple practice areas and use cases
Securities attorneys require FINRA and SEC compliant broker-dealer agreements for clients engaging in securities trading, market making, and capital markets activities.
This workflow directly addresses securities law compliance requirements and is fundamental to securities practice, covering FINRA rules, SEC regulations, and arbitration provisions essential to capital markets transactions.
Companies raising capital through securities offerings need compliant broker-dealer agreements to engage underwriters, placement agents, and trading platforms for their securities.
Corporate finance attorneys draft and negotiate broker-dealer agreements as part of capital raising transactions, IPOs, secondary offerings, and ongoing trading relationships for corporate securities.
Broker-dealer agreements are essential for publicly traded companies establishing relationships with broker-dealers for stock trading, employee stock plans, and investor relations services.
Corporate governance attorneys regularly negotiate and review broker-dealer agreements for their corporate clients' securities trading activities, ESOP administration, and compliance with securities regulations.
M&A transactions involving financial services firms or requiring broker-dealer services for deal execution need compliant agreements for trading, escrow, and securities transfer services.
M&A attorneys encounter broker-dealer agreements when representing buyers/sellers of financial services companies or when engaging broker-dealers for fairness opinions, deal financing, and securities transfers in transactions.
CaseMark searches and verifies regulatory language directly from official FINRA and SEC sources in real-time. The platform automatically incorporates current disclosure requirements, arbitration provisions under FINRA Rule 2268, and Regulation T margin compliance standards, ensuring your agreements meet all regulatory obligations.
CaseMark includes all required risk disclosures for investment risks, margin trading, market volatility, and securities lending. The platform pulls FINRA-mandated language for dispute resolution, fee transparency, and customer acknowledgments, ensuring comprehensive regulatory coverage in every agreement.
Yes, CaseMark allows you to input specific customer information, account types, and your firm's fee schedules. The platform integrates your custom details while maintaining regulatory compliance, generating tailored agreements that reflect your brokerage's specific services and pricing.
CaseMark generates a complete, FINRA and SEC compliant broker-dealer customer agreement in approximately 12 minutes. This includes all required sections from account opening provisions to arbitration clauses, compared to 5+ hours of manual drafting and regulatory research.
Yes, CaseMark automatically includes FINRA-compliant arbitration provisions that meet Rule 2268 requirements. The platform verifies dispute resolution language against current FINRA guidelines and includes proper venue specifications, governing law provisions, and customer acknowledgment requirements.
CaseMark continuously searches official regulatory sources to ensure agreements reflect current requirements. When you generate a document, the platform pulls the most recent FINRA rules, SEC regulations, and compliance standards, eliminating the risk of using outdated regulatory language.
Yes, you can upload your existing agreement templates, compliance policies, and fee schedules as optional documents. CaseMark's RAG technology searches your uploaded materials and integrates firm-specific provisions while ensuring all regulatory requirements are met and properly cited.