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