Stock Brokerage Compliance

We offer full compliance and registration services to FINRA Broker Dealers, including:

• Mock SEC Exams
• Compliance Consulting
• Annual Compliance Meeting
• Firm Element Continuing Education
• Written Supervisory Procedures Manual - from preparation to minor updates
• Anti-Money Laundering Policies and Procedures
•         Creations, Revisions and Reviews
• Annual Internal Compliance Inspections
•        Rule 3010 requires an annual review of the firm’s supervisory systems 
•        Rule 3010 requires onsite inspections of all remote office locations
•        Rule 3011 requires an “independent” test of the firm’s AML policies
• Customer Complaints Review and Reporting 
• Advertising Review and Filing
• Web CRD Filings
• Business Continuity Plan
• Broker/Dealer Registrations: New firm or additional registrations
• Series 27 (FinOP), Series 24 (General Principal) licenses available