A focused, no‑obligation session designed to give broker‑dealers a clear, practical snapshot of their SEC compliance posture. In 30–60 minutes, our compliance experts will review your firm’s structure, key products, and supervisory controls; identify high‑priority gaps; and deliver a concise, written action plan you can use immediately. This offering mirrors industry practice for introductory audits and consultations used to build trust with prospective clients. achieve your business goals.
Draft and implement tailored Written Supervisory Procedures (WSPs), compliance manuals, and policies aligned with SEC and FINRA expectations.
Assist with broker‑dealer formation, FINRA membership applications, Form BD/CRS filings, and branch or main office registrations.
Provide fractional CCO, FinOp, or compliance administration services, including monthly monitoring, reporting, and board updates.
Background
A regional broker‑dealer with 45 registered representatives and three branch offices engaged us after receiving notice of an upcoming SEC/FINRA examination and identifying weaknesses in supervisory documentation and AML controls.
A newly formed broker‑dealer launching fixed income and advisory services needed help with registration, Form BD filings, and interim compliance leadership while hiring a permanent CCO.
A national broker‑dealer relied on multiple third‑party vendors for custody, order routing, and cloud services but had inconsistent vendor oversight and no centralized vendor risk register. Leadership worried about operational and regulatory exposure from vendor failures.
A regional advisory and brokerage firm experienced inconsistent suspicious activity reporting and received examiner comments about SAR quality and timeliness.