Take a Look at the Various Regulatory Services Offered

Providing custom solutions that help your company navigate the complexities of FINRA and SEC rules and regulations.

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Services:

Membership Applications

  • New Member Application (NMA)
  • Continuing Member Application (CMA)
  • Membership Agreement Change (MAC)
  • Materiality Consultation (MC)
  • New Capital Acquisition Broker (CAB)
  • Register a New Funding Portal (FP)

      * Flat Rate Pricing

Regulatory Expert Witness

Gap Assessment Reports

Independent Reviews

  • Anti-Money Laundering (AML) Test
  • Annual Review – SEC Rule 206(4)-7
  • Annual Report – FINRA Rule 3120
  • Branch Office Inspections

      * Report Packages Available

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Compliance Support Packages

Chief Compliance Officer (CCO)

Assistance with Regulatory Examinations

Mock FINRA Examinations

Enforcement Undertaking Reporting

Contact
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