Who We Are
About Broker-Dealer Compliance, LLC
Experienced. Thorough. Regulatory-Ready.
Broker-Dealer Compliance, LLC is a professional compliance consulting firm founded by Kathy Lindh. Using years of continuous industry experience in the financial services industry, the firm provides expert guidance to Broker-Dealer and Registered Investment Adviser firms navigating the complex landscape of FINRA, SEC, and state regulatory requirements.
Areas of Expertise
FINRA Rules and Regulations
SEC Rules and Regulations
State Securities Regulations
Written Supervisory Procedures (WSP)
Anti-Money Laundering (AML) Programs
FINRA CRD and IARD Filings
Branch and Main Office Audits
SEC Rule 206(4)-7 Reviews
Regulatory Examination Support
Advertising and Communications Review
Social Media and Email Compliance
Trade Surveillance
Ready to Work Together?
Call (208) 409-8077 to discuss your compliance needs.