REGULATORY SERVICES FOR SEC & FINRA REGULATED FIRMS
Below are outsourced regulatory services offered to SEC registered FINRA member broker-dealers, investment advisers, hedge funds, and other regulated institutions.
OUTSOURCED REGULATORY SERVICES
Chief Compliance Officer (Series 24)
For SEC registered FINRA member broker-dealers, investment advisers, and hedge funds.
Supervisory Principal (Series 24)
For SEC registered FINRA member broker-dealers.
Anti-Money Laundering Officer
For broker-dealers, advisers, banks, and other financial institutions subject to the Bank Secrecy Act, Patriot Act, OFAC, FinCEN, and SAR requirements.
Supervision of Registered Representatives
For SEC registered FINRA member broker-dealers.
Branch Inspections
For SEC registered FINRA member broker-dealers. Inspection of OSJ offices, branches offices, and non-branch offices.
Regulatory Examinations
From SEC, FINRA, and State Regulatory agencies.
Regulatory Investigations, Inquiries, Enforcement Actions
From SEC, FINRA, and State Regulatory agencies.
FINRA Arbitration
FINRA arbitration management and guidance.
FINRA Gateway / CRD Management
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.
Private Placement Reg D, Reg A, FINRA 5123 Filings
ADV Filings & Updates / IARD
Advertising and Sales Material Review and Filing
Advertising filing only if required.
Electronic Correspondence Review
Via Global Relay, Smarsh, or firms internal archival program.
Transaction Reviews
For SEC registered FINRA member broker-dealers
New Membership Filing
For firms seeking to register as a broker-dealer with the SEC.
Continuing Membership Filing
For SEC registered broker-dealers intending to make material business changes including ownership.
SEC Bad Actor Waiver Request
For specific applicable individuals
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