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
- SEC Form D Filings
- FINRA 5123 Notice Filings
- ADV Filings & Updates
- FINRA Gateway Filings & Updates
- 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