February 19, 2017


Broker-Dealers, whether large or small, domestic or international, are all similar in many respects: They face ever-increasing challenges in the current business and regulatory environment and, regardless of size or business lines, they need to have effective solutions to compliance and risk management issues.

We understand that as legislative and regulatory scrutiny has intensified, compliance costs have skyrocketed as well, with a potentially devastating impact on your business initiatives and goals.

We can help you reduce those costs and, at the same time, enhance your firm’s compliance efforts in a way that is appropriate for your specific regulatory needs and yet sensitive to your budget.

We know that an effective compliance and risk management program for a Broker-Dealer must be both sound from a regulatory perspective and sensitive to cost from a business perspective.

We offer a comprehensive array of traditional and innovative compliance products and services, such as drafting policies and procedures, conducting mock audits, etc. But we also help our clients make informed choices about compliance and risk management strategy.  Cost-effective choices that produce good business and regulatory results.

What are some of the specific things we can do for you and your firm?

  • Litigation representation*
  • Prepare and Process New Member Applications (NMA) and Continuing Membership Applications (CMA)
  • Provide General and Customized Compliance Support
  • Keep management abreast of the changing regulatory environment and provide interpretative assistance regarding rules, regulations, and best practices
  • Review, draft, and update Written Supervisory Procedures (WSPs) and Compliance Manuals
  • Conduct 3120 Supervisory Controls Reviews and Assessments; prepare 3130 Certifications
  • Conduct mock SEC and FINRA examinations, as well as OSJ and branch office examinations
  • Interface with Federal, state, and SRO regulators
  • Prepare the firm for upcoming SEC, FINRA, and state examinations, and assist the firm in responding to examination findings
  • Review Anti-Money Laundering Compliance Procedures and perform Independent AML Tests
  • Review Client Documentation and New Account On-Boarding
  • Review Trade Surveillance and Reporting
  • Conduct Annual Compliance Meetings, Compliance Seminars, and Annual Registered Rep Interviews
  • Provide FINOP Services and FOCUS Reporting/Review
  • Conduct Continuing Education Needs Analysis and Training
  • Provide Registration Services/Web CRD filings
  • Review back office operations functions, including clearing relationships
  • Review Business Operations; update Disaster Recovery, Business Continuity, and Succession Plans
  • Review and evaluate the firm’s cybersecurity program and procedures, provide training for employees, and test and verify the firm’s cybersecurity protection and preparedness
  • Review Communications with the Public: e-mail, correspondence, advertising, sales literature, website content, and research reports
  • Conduct Due Diligence and Provide Support for Mergers and Acquisitions

The SEC-FINRA COMPLIANCE Consulting Group has offices in the New York metropolitan area and Florida and Consultants located throughout the United States.  For more information on the types of compliance, regulatory and risk management products and consulting services we provide and how we can be of assistance to you and your firm, please contact us today, either by telephone (800-SEC-9906) or email, for a free consultation.