John Ayanian advises clients on broker-dealer and securities market regulatory matters. He has substantial experience advising broker-dealers, including retail, institutional, and clearing broker-dealers on a wide range of regulatory and compliance obligations under the Securities Exchange Act of 1934 and SEC, FINRA, and MSRB rules impacting their respective businesses. He regularly advises clients on broker-dealer status issues, Regulation Best Interest, Form CRS, conflicts of interest, disclosures, advertising, the distribution of investment products and investment research, trading issues, best execution obligations, and SEC and FINRA registration issues, and digital engagement practices. John also has significant experience on issues involving broker-dealers’ obligations under net capital and customer protection rules, market structure, regulatory matters involving mergers and acquisition transactions, as well as issues involving the use of money market and bank deposit sweep programs.