QCS Financial Services
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  • Stock Brokerage Compliance
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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
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