Broker Dealer
We provide expert guidance to help firms meet SEC, FINRA, and state regulatory requirements - from registration to ongoing compliance.
Registration and Membership Support
Starting a broker-dealer requires careful preparation. We make the process efficient and compliant.
· Broker-Dealer Registration
· New Member Application (NMA)
· Continuing Membership Application (CMA)
Independent AML & Compliance Audits
We conduct independent reviews to evaluate the effectiveness of your AML and compliance programs.
· Annual Independent AML Reviewt
· Compliance Program Audit
· Findings & Recommendations
Operational Advisory
Beyond compliance, we help you build a strong, efficient operational foundation that supports growth and scalability.
· Process and workflow optimization
· Scalable compliance infrastructure
· Strategic planning for sustainable operations
Ongoing Compliance & Advisory
Compliance doesn't end after registration. We provide continuous support to keep your firm compliant ready.
· Compliance Program Development
· Annual Compliance Testing & Meetings
· Regulatory Reporting