Following is a list of the services we offer. If you do not see what you need please contact us to discuss:

• Support Your Overall Compliance and Administrative Efforts
• Creation of new Broker-Dealer, Commodities Broker or Investment Advisors organizations
• Guiding clients through the regulatory membership process at the SEC, FINRA, NFA, and Other Major Exchanges as well as various State Jurisdictions
• Guiding clients through the Federal and State Registered Investment Advisor Approval Process
• Assisting clients with their FINRA Continuing Membership Process
• Amending Broker-Dealer or Investment Advisor Registrations
• Create new and revise/update Written Supervisory Procedures Manuals
• Draft Investment Advisor Written Supervisory Procedures and Code Of Ethics Manuals
• Establishing Supervisory Systems
• Document Supervisory and Compliance Procedures
• Create and Implement Business Continuity Plans (BCP)
• Create and Implement Anti-Money Laundering (AML) programs
• Perform Independent Annual Audits of both BCP and AML Functions
• Organizational State Registration Processing
• Assist with Continuing Education Needs by Conducting Interviews and Creating Needs Analysis and Training Plans
• Conducting Continuing Education Training Sessions
• Conducting the Annual Compliance Meeting
• Conducting "MOCK" FINRA and SEC Broker-Dealer, SEC Investment Advisor, and NFA compliance audits
• Perform SEC and Regulatory Specific or Directed Audits
• Conducting Annual Compliance Audits
• Assist in the CEO Certification Process
• Trading and Market Making Support
• ACT OATS and TRACE Reporting Issue support
• Municipal Securities Rulemaking Board guidance
• Accounting/Bookkeeping
• Accounting/Regulatory Reporting
• FOCUS Reporting
• NFA Financial Reporting
• Central Registration Depository Administration
• Providing full time or for an interim period Qualified:
  • Financial and Operations Principals
  • General Securities Principals
  • Compliance Principals
  • Options Principals
  • Municipal Principals
• Financial Institution M&A
• Assisting Company and Outside Counsel with Regulatory Issues
• Interfacing with
  • Regulators
  • Counsel
  • Auditors