Compliance Manuals

Broker-dealer Written Supervisory Procedures (WSP) Manual:
Our Supervisory Procedures Manual dictates not only the supervisory requirements of the FINRA, but also how to administer those procedures in a format that clearly states "who, what, when and how" the supervision will be accomplished. Soon our WSP will be available online through secured login-for archiving and immediate access. The broker-dealer WSP is updated bi-annually and is provided in electronic format to allow for simple incorporation of new procedures.

Our comprehensive Supervisory Procedures Manual is available
in two formats:

Template format: Our full, comprehensive Supervisory Procedures Manual available on disk in template format is easily customized to conform to the specifics of your firm.

Customized Manual: We customize the Supervisory Procedures Manual according to the structure and needs of your Broker Dealer.

Keeping your Supervisory Procedures Manual updated:
To keep your Supervisory Procedures Manual current with the ever-changing dictates of the FINRA and SEC, we offer a Supervisory Procedures Manual update service. Updates that can be integrated into your manual are issued two times a year.

Along with our Training Plan and Needs Analysis, Broker Dealer Compliance offers Internet training materials to meet the Firm Element requirement. Please see our Continuing Education page for details on courseware titles available.

Anti-Money Laundering AML) Procedures:
Meet the Anti-Money Laundering Procedures dictate of the USA PATRIOT Act and the FINRA with procedures from Regulatory Compliance.

Every FINRA member firm must have these procedures in place, name a Money Laundering supervisor, provide for an Anti-Money Laundering audit, and present Anti-Money Laundering training to all Registered Representatives and "appropriate personnel." Our procedures are presented in template format, allowing each Broker Dealer the opportunity of customizing them to suit the activities of the firm. Included with our Money Laundering procedures are forms critical for tracking and reporting: Audit Findings Report, Preliminary Risk Assessment, P-SAR Review Form, Suspicious Activity Report, and more.

We can also perform annual on-site AML Audits and provide AML Firm Element courses.

Business Continuity Plan (BCP):
All introducing Broker Dealers must have a Disaster Recovery
(Business Continuity) Plan in place:

On April 7, 2004, the Securities and Exchange Commission SEC) approved the new FINRA Rule 3500 Series, which requires members to establish emergency preparedness plans and procedures.

Regulatory Compliance offers a fully customized Business Continuity Plan to Broker Dealers incorporating all the above regulations.

Rule 3510
Requires each member to create and maintain a business continuity plan and enumerates certain requirements that each plan must address. The Rule further requires members to update their business continuity plans upon any material change and, at a minimum, to conduct an annual review of their plans. Each member also must disclose to its customers how its business continuity plan addresses the possibility of a future significant business disruption and how the member plans to respond to events of varying scope.

Rule 3520
Requires members to designate two emergency contact persons and provide this information to FINRA via electronic process.