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Regulatory Compliance Programs for Every Broker-Dealer

Regulatory Compliance offers compliance consulting and compliance products that will assist your chief compliance officer and broker-dealer compliance team in maintaining and managing your compliance program. From new broker-dealer state registrations and compliance manuals to registered representative tracking and examinations and testing, we are the “one-stop compliance shop.”

Looking to start a new broker-dealer?

Check out our NMA packages to get registered as a member of FINRA and in your home state.

Are you a broker-dealer that needs to make a change to its business model or ownership structure?

Learn more about how Regulatory Compliance can assist with your Change of Membership (CMA or 1017) application.

If you are already a FINRA member broker-dealer, learn more about our ongoing compliance consulting packages.

Our PartnerProgram includes extensive consulting on broker-dealer compliance issues and ongoing services tailored to your firm’s business and operational needs.

Compliance and supervisory procedure manuals are a good start. Find out how we can help your broker-dealer stay on track with comprehensive broker-dealer compliance manuals.

Are you thoroughly prepared for examinations?

  • Do you need assistance in testing your BD compliance program as required under Rule 3120?
  • Do you need help testing your anti-money laundering procedures as required under Rule 3310?
  • Have you completed the examinations of your home or branch offices as required under Rule 3110?
  • Do you want to know if you have your required books and records and are ready for a regulatory examination?

Our customized examinations and testing programs can provide you peace of mind. Call or click here for a customized quote for examinations and testing review.

For general questions and information about our products and services, please contact us or call 1-888-Reg-Comp (1-888-734-2667).