´╗┐About Us

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Proactive Securities Compliance Consulting

Regulatory Compliance, LLC has been assisting broker-dealers and investment advisers with critical securities compliance responsibilities since 1989. Our team of experienced professionals — CPAs, securities principals, financial and operations principals, investment advisers, 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 advisers can choose from a wide range of compliance services from Regulatory Compliance:

  • Broker-dealer FINRA and state registrations
  • Investment adviser 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.