​​Compliance Services 

Internal, Branch, FINRA, SEC and State Securities Department Audit Assistance.  Assist firm's with Audit preparation, assistance during audit if needed, Analysis of exam results, preparation of response and follow-up procedure changes.

Training:  Provide compliance training for new firms and employees.  Assist in the set up of new Broker-Dealers and Registered Investment Advisory Firms.

Regulation Best Interest - FORM CRS preparation and submission.

Written Supervisory Procedures Manual.  Report regulatory changes and assist in development of new policies and procedures.  Update and maintain written manual.

FINRA Rule 3310 – AML Program.  Update and maintain the firm’s AML manual annually and as required.  This includes the update and management of the firms Customer Identification Program, OFAC and FINCEN compliance, recordkeeping and regulatory filings such as SARS.  

AML Annual Continuing Education. Develop annual continuing AML education program which covers policies and procedures, reviews regulatory changes, and outlines topics such as the identification of  suspicious activity and current AML events.  

Office Examinations.  Develop the audit content and perform annual  home and branch office examinations as required by FINRA.   A written report is provided to the CEO based on the findings of the examination.

 BCP.  Develop and maintain the firm's Business Continuity Plan as well as the required annual update.  Provide the firm with Continuing Education content.  This content can be delivered to reps via the Compliance Portal.
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REPS:    Onboarding Services and Collect and maintain annual disclosures:

  • FINRA Rule 3270- Outside Business Activities.
  • FINRA Rule 3280 -  Private Securities Transactions. 
  • FINRA Rule 3210 - Outside Accounts.
  • FINRA Rule 3110 - Insider Trading.
  • Social Networking Disclosures.
  • Email reviews.

FINRA CRD/IARD:

  • Form BD filings and associated filings.
  • Form BR filings.
  • Register brokers, U4 updates and management of deficiencies, Perform Background Checks.
  • U5 filings.
  • Accounting.
  • FINRA Gateway review and management.
  • FINRA Annual Contacts Update.
  • FINRA Rule 4530 filings - Customer Compliant filings and research.
  • Outside Business Disclosure filings and maintenance.
  • CRD annual renewals.  
  • Maintain ongoing state licensing records.
  • IARD - ADV Filings.
  • RIA SEC Filings.

 States:

  • Perform state licensing within CRD.
  • Perform state insurance licensing for firms and Reps.
  • Perform individual state securities regulation and state securities law review.
  • Prepare regulatory responses and required filings at the state level.

Annual Compliance meeting.  Develop and prepare required compliance meeting content.  

​Custom form and document Service.   Create and maintain customer forms and documents that assist the firm in different areas of compliance, suitability, the collection of data, and regulatory requirements. 


Regulatory, Customer and legal reviews.  Assist in the review of customer complaints, customer correspondence, legal reviews of Disclosures and rep activity, correspondence from regulators and analysis of legal issues.    Provide firm with written reports related to legal issues, provide written correspondence and response documents to legal entities, customers and regulators.