Broker Dealers

FinServ Compliance Solutions for Broker-Dealers

FINRA Rule 3110 requires a firm, no matter the size, to maintain a system to supervise the activities of there associated persons and to achieve compliance with securities laws and regulations and FINRA’s rules.  

Developing a robust compliance and supervisory program which addresses FINRA and Securities and Exchange Commission regulations is essential. 

Our Broker-Dealer practice helps your firm implement these programs. No matter the size of your firm, FinServ Compliance will design, update and assist in implementing the written supervisory procedures.

Some of our Solutions

  • Advertising and Marketing Rule
  • FSC Risk Assessment
  • AML Compliance and Testing
  • WSP (New or Updating Services)
  • Merger and/or Acquisition
  • Change in Membership Application
  • New Membership Application
  • Form CRS and Reg BI
  • Cyber Security Testing
  • Liaison with Regulators