REGULATORY SERVICES FOR SEC & FINRA REGULATED FIRMS

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For SEC registered FINRA member broker-dealers, investment advisers, and hedge funds.

For SEC registered FINRA member broker-dealers.

For broker-dealers, advisers, banks, and other financial institutions subject to the Bank Secrecy Act, Patriot Act, OFAC, FinCEN, and SAR requirements.

For SEC registered FINRA member broker-dealers.

For SEC registered FINRA member broker-dealers. Inspection of OSJ offices, branches offices,  and non-branch offices.

Management of regulatory examinations and inspections from regulatory bodies including the SEC, FINRA and state regulatory agencies.

From SEC, FINRA, and State Regulatory agencies.

This includes all applicable broker-dealer filings done for the broker-dealer and their registered staff both ongoing and as needed including but not limited to Form BD, BDW, Form U4, Form U5, disclosure filings, etc.

For broker-dealers specializing in Reg D private placement activity.

For registered investment advisors.

Review of proposed sales or advertising material, guidance on such material, and filing if required.

Review of electronic communications with the public including supervisory review of email, social media, blogs, websites, text messages, etc.

For firms seeking to register as a broker-dealer with the SEC and applicable SRO such as FINRA.

For SEC registered broker-dealers intending to make material business changes.