REGULATORY SERVICES FOR SEC & FINRA REGULATED FIRMS

REGULATORY AND SUPERVISORY SERVICES

• Chief Compliance Officer Services (Series 24)
• Supervisory Principal Services (Series 24) 
• Supervision of Registered Representatives
• Private Placement Reg D, Reg A, Reg CF Compliance 
• 1031 Exchange Compliance
• Performance of Regulatory Functions 
• Advertising and Sales Material Review and Filing
• Electronic Correspondence Review (Global Relay, Smarsh)
• Transaction Reviews
• Branch Inspections 
• Anti-Money Laundering Officer Services 
• AML Testing

REGULATORY FILINGS, EXAMS, AND ENFORCEMENT ACTIONS

• Regulatory Enforcement Actions
• Regulatory Examinations and Investigations 
• Regulatory Filings, Registration, and Gateway Management
• New Membership and CMA Filing
• SEC Form D and C Filings 
• 5123 Private Placement Notice Filings
• SEC Bad Actor Waiver Request