Company Information

Get to know Rapps & Associates, PLLC

Rapps & Associates, PLLC is a boutique securities law firm dedicated to serving the legal and compliance needs of the financial services industry. The firm represents a diverse clientele, including broker-dealers, investment advisers, hedge funds, and other financial professionals, in matters ranging from regulatory defense and enforcement actions before the SEC and FINRA to compliance consulting and transactional advice. Founded by experienced securities attorneys, the firm prides itself on providing sophisticated, practical, and cost-effective legal solutions tailored to the complex regulatory landscape of the securities market.

Industry

Financial Legal ServicePRIMARY
Financial Other Service

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Rapps & Associates, PLLC

United States

Founded in

2014 (12 Years)

Founded

Last online: No recent activity

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OVERALL SCORE

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Regulated

Recommended

(73 reviews)

Cyprus

2009

(17 years)

Security Information :

CySEC

FSCA

DFSA

Security Information

Warning

This company is currently Unproved.

Please be cautious of the potential risks!

License

A Grade License

Issued by globally renowned regulators, these licenses ensure the highest trader protection through strict compliance, fund segregation, insurance, and regular audits. Dispute resolution and adherence to AML/CTF standards further enhance security.

B Grade License

Granted by respected regional regulators, these licenses offer robust safety measures such as fund segregation, financial reporting, and compensation schemes. Though slightly less strict than Tier 1, they provide dependable regional protection.

C Grade License

Issued by regulators in emerging markets, these licenses offer basic protections such as minimum capital requirements and AML policies. Oversight is less stringent, so traders should exercise caution and verify safety measures.

D Grade License

From jurisdictions with minimal oversight, these licenses often lack key protections like fund segregation and insurance. While attractive for operational flexibility, they pose higher risks to traders.

TrustFinance is not a licensed financial advisor and is not affiliated with any financial institutions in your region. We encourage you to do your own research before making any investment decisions.