Regulatory Compliance, LLC has been assisting broker-dealers and investment advisors with critical securities compliance responsibilities since 1989. Our team of experienced professionals — CPAs, securities principals, financial and operations principals, investment advisors, securities attorneys, and other specialists — provides comprehensive compliance solutions to thousands of financial services industry firms nationwide.
Comprehensive Regulatory Compliance Services
Broker-dealers and investment advisors can choose from a wide range of compliance services from Regulatory Compliance:
- Broker-dealer FINRA and state registrations
- Investment advisor SEC and state registrations
- Accounting: FINOP outsourcing (Series 27, 28), FOCUS preparation and filing, net capital computation, bookkeeping
- Firm Element and AML online training
- Compliance manuals: supervisory procedures, anti-money laundering, business continuity, continuing education training
- Continuing education courses
- Compliance examinations
- Anti-money laundering examinations
Trusted Regulatory Compliance Resource
Clients who select our Compliance Partners program — a package of affordable compliance services customized to a firm’s specific requirements — receive ongoing regulatory compliance support. We stay up-to-date with the latest securities regulations to provide clients with ongoing regulation updates, filing deadline reminders, and reporting requests to facilitate accurate, timely filings — and peace of mind.
To learn more about any of our compliance services, contact us or call (603) 434-3594.