BROKER-DEALER COMPLIANCE SOLUTIONS

Expert Guidance

Looking to develop your business but not sure where to turn? Need help planning or executing your next project? Let us guide you.

• New Member Registration (SEC, FINRA, NFA, Exchange)

• Registration of Broker-Dealers and Individuals (States and Exchanges)

• Continuing Membership Applications (Rule 1017 filings)

• Financial and Operations (FINOP) Services

• Continuing Education Needs Analysis and Training Plans

• Annual Reviews

  • Anti-Money Laundering

  • Rule 3012/3013

  • Branch Office Exams

• Required Independent Reviews

• Annual Compliance Meetings

• Written Supervisory and Compliance Procedures

• Interface with Regulators

• Legal and Regulatory Advice (Routine and Enforcement/Arbitration Related)