Regulatory Compliance Programs for Every Broker-Dealer
Regulatory Compliance offers compliance consulting and compliance products that will assist your chief compliance officer and broker-dealer compliance team in maintaining and managing your compliance program. From new broker-dealer state registrations and compliance manuals to registered representative tracking and examinations and testing, we are the “one-stop compliance shop.”
Looking to start a new broker-dealer?
Check out our NMA packages to get registered as a member of FINRA and in your home state.
Are you a broker-dealer that needs to make a change to its business model or ownership structure?
Learn more about how Regulatory Compliance can assist with your Change of Membership (CMA or 1017) application.
If you are already a FINRA member broker-dealer, learn more about our ongoing compliance consulting packages.
Our PartnerProgram includes extensive consulting on broker-dealer compliance issues and ongoing services tailored to your firm’s business and operational needs.
Compliance and supervisory procedure manuals are a good start. Find out how we can help your broker-dealer stay on track with comprehensive broker-dealer compliance manuals.
Are you thoroughly prepared for examinations?
Do you need assistance in testing your BD compliance program as required under Rule 3120?
Do you need help testing your anti-money laundering procedures as required under Rule 3310?
Have you completed the examinations of your home or branch offices as required under Rule 3110?
Do you want to know if you have your required books and records and are ready for a regulatory examination?
Our customized examinations and testing programs can provide you peace of mind. Call or click here for a customized quote for examinations and testing review.
For general questions and information about our products and services, please contact us or call 1-888-Reg-Comp (1-888-734-2667).