Our comprehensive compliance program is thoughtfully designed to satisfy applicable securities laws, regulations, and FINRA rules, and industry best practices.
Please visit FINRA’s BrokerCheck for a report on our firm.
VISIT BROKERCHECK
H&L Equities, LLC is our captive, SEC-registered, and FINRA-member broker-dealer, under which all securities activities requiring registration conducted since 2001 are performed.
H&L has five registered representatives, four registered principals, and 11 non-registered fingerprinted associated persons, all working within a compliance program framework that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.
Annually, the firm reviews its policies & procedures and has its AML, Financial, and Supervisory controls tested by an independent external auditor. Additionally, the firm is subject to regular and routine cycle exams by FINRA and the SEC and responds to inquiries from the state securities divisions for the jurisdictions in which the firm is registered and conducts its activities.
Our experienced compliance department is 100% dedicated to satisfying the regulatory requirements of private placements offered under Regulation D, Rule 506(b).
As an SEC-registered FINRA member broker-dealer, we are subject to the Bank Secrecy Act (“BSA”), FINRA rules 3310 and 2090. We certify we are compliant with the anti-money laundering requirements and maintain documentation in accordance with Section 326 of the PATRIOT Act, which we will provide copies to you upon receipt of any reasonable request.
We conduct every offering in accordance with the requirements of Reg BI, which eliminates the burdensome additional disclosures required by the SEC's Marketing Rule for those REITs who are advised by a registered investment adviser.
These critical elements are monitored continuously and updated to capture changes to applicable regulatory requirements and evolution of data ecosystems.
As an SEC-registered FINRA member broker-dealer, we are subject to the Bank Secrecy Act (“BSA”), FINRA rules 3310 and 2090. We certify we are compliant with the anti-money laundering requirements and maintain documentation in accordance with Section 326 of the PATRIOT Act, which we will provide copies to you upon receipt of any reasonable request.
We conduct every offering in accordance with the requirements of Reg BI, which eliminates the burdensome additional disclosures required by the SEC's Marketing Rule for those REITs who are advised by a registered investment adviser.
These critical elements are monitored continuously and updated to capture changes to applicable regulatory requirements and evolution of data ecosystems.
Our Form D and Blue Sky filing services are an optional add-on service with your review and final approval performed using our automated Form D tool to save you time.
We make Blue Sky filings easy and our offering footprint keeps Blue Sky filing fee expenses to a minimum.
Our compliance team will publish a draft Form D via an online link to any recipient(s) you authorize. All users can edit in real-time and will signal their collective completion by selecting “Approve”. This will lock the form from additional edits, and we will confirm the final version prior to submission to the SEC.
As a filing agent, we are fully operational on the SEC’s EDGAR Filer Management System and we can serve in the capacity of Administrator or Delegate to assist with your filings.
To keep filing fees to a minimum, we only conduct offerings with subscribers who are residents of FL, GA & TX.
Our compliance team will publish a draft Form D via an online link to any recipient(s) you authorize. All users can edit in real-time and will signal their collective completion by selecting “Approve”. This will lock the form from additional edits, and we will confirm the final version prior to submission to the SEC.
As a filing agent, we are fully operational on the SEC’s EDGAR Filer Management System and we can serve in the capacity of Administrator or Delegate to assist with your filings.
To keep filing fees to a minimum, we only conduct offerings with subscribers who are residents of FL, GA & TX.
Our administration processes are built to scale and last, ensuring your REIT remains viable as long as your shareholders are required.
Our advanced IT infrastructure and proprietary management system ensure effective shareholder management and responsive information handling for our accounts and shareholders.
Our comprehensive compliance program is thoughtfully designed to not only meet but consistently exceed all applicable securities laws, FINRA requirements and industry best practices.
Our administration processes are built to scale and last, ensuring your REIT remains viable as long as your shareholders are required.
Our advanced IT infrastructure and proprietary management system ensure effective shareholder management and responsive information handling for our accounts and shareholders.
Our comprehensive compliance program is thoughtfully designed to not only meet but consistently exceed applicable securities laws, FINRA requirements and industry best practices.
Our team of experts is prepared to explore accommodation shareholder solutions.