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.
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
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
Compliance Support Packages
Assistance with Regulatory Examinations
Mock FINRA Examinations
Regulation Best Interest (Reg BI)
Consulting and Reporting on Enforcement Undertakings