REGULATORY SERVICES FOR SEC & FINRA REGULATED FIRMS

1. Chief Compliance Officer Services (Series 24)
2. Supervisory Principal Services (Series 24) 
3. Supervision of Registered Representatives
4. Private Placement Reg D, Reg A, Reg CF Compliance 
5. 1031 Exchange Compliance
6. Performance of Regulatory Functions 
7. Advertising and Sales Material Review and Filing
8. Electronic Correspondence Review (Global Relay, Smarsh)
9. Transaction Reviews
10. Branch Inspections 
11. Anti-Money Laundering Officer Services 
12. AML Testing

1. Regulatory Enforcement Actions
2. Regulatory Examinations and Investigations 
3. Regulatory Filings, Registration, and Gateway Management
4. New Membership and CMA Filing
5. SEC Form D and C Filings 
6. 5123 Private Placement Notice Filings