Our Practice

Registration Services

• Analyze business practices and provide advice on whether to register as a broker
• Prepare FINRA initial membership applications and disclosure forms
• Prepare state initial membership applications and disclosure forms
• Make changes to membership applications
• Develop written supervisory procedures that meet SEC and FINRA standards

Ongoing Compliance Support

• Conduct FINRA Required Annual Reviews
  • Regulatory Compliance Program
  • Anti-Money Laundering
  • Supervisory Controls Assessment
• Review agreements and compliance documents
• Update written supervisory procedures manual
• Review advertising and sales literature

Examination Support

• Assist with all aspects of SEC or FINRA examination of firm
• Review document request list and assist with gathering responsive documents
• Interface with SEC/FINRA examiners
• Prepare response to deficiency letter
• Create plan to remedy deficient areas
• Provide legal assistance with informal FINRA regulatory inquiries

Compliance Education and Training

• Continuing education needs analysis
• Conduct annual compliance meeting/prepare agenda
• Conduct Anti-Money Laundering training