• SEC, FINRA, and State Regulations
  • FINRA CRD, IARD Filings 
  • RR, IAR, and firm Licensing
  • Insurance Licensing
  • ​AML
  • Compliance Manuals
  • Main and Branch office Audits
  • ​SEC Rule 206(4)-7 Audits
  • Assistance with Regulatory Examinations
  • RR and IAR Required Disclosures
  • Click on Services below for more details...

Kathy Lindh  (208)409-8077

FINRA Regulatory Compliance Services

FINRA, SEC Compliance Services for Broker-Dealers and RIAs

​​​​​Broker-Dealer Compliance, LLC ​