Broker-dealers continue to face an increasing number of regulations from the SEC, FINRA and States where the firms are registered. FinServ Compiance is the premier consulting firm for the small and medium-tier firms. We provide transparency in our dealings and are the go-to consultants for budget conscious broker-dealers.
Our broker-dealer consulting, registration, compliance services and continuing guidance are tailored to meet the needs and requirements of new and existing broker-dealer firms. Our professionals have decades of industry and/or direct regulator experience. Our services range from New Member Applications with FINRA to our premier ongoing compliance consulting contract and our hand-holding experience with unlimited phone consultation as part of our commitment to you and your firm.
Registrations & CMA
- New BD Registration with FINRA
- CMA Applications with FINRA
- State Registrations
FinServ Compliance Solutions
- Anti-Money Laundering Review / Testing
- Supervisory Control Review and Testing
- Branch Audit and Review Program
- Review of WSP
- Tiered Annual Consulting Contract
- Cyber Security Testing
- Customized Email Rules
- Act as Liaison with regulators on requests for information
Additional Services
- Cyber Security Testing
- Cyber Security Policies
- Advertising Reviews