Financial Services

Our Regulatory compliance services include:

• Broker Dealer Registration
• Investment Advisor Registration
• Finop & Accounting Services
• Compliance Manuals
• Compliance Consulting
• Education

Satisfying the Broker Dealer accounting requirements of your firm is a very important aspect of maintaining your firm's continued compliance. Regulatory Compliance meets the accounting needs of securities firms by offering Books and Records services, as well as Financial and Operations Principal (FINOP) outsourcing and annual Broker Dealer accounting audits.

Books and Records:

• Balance Sheet
• Cash receipts and disbursements journal
• General Ledger
• Income Statement
• Journal Entries
• Net Capital Computation
• Preparation and electronic filing of
• Monthly and Quarterly FOCUS II or IIA
• Trial Balance

Financial and Operations Principal:

Regulatory Compliance provides outsourcing of FINOP services. Our staff is comprised of Series 27/28 licensed professionals with years of financial experience. We are proud of the staff's accuracy and wealth of accounting knowledge. Some FINOP duties include:

• Registering as Financial and Operations Principal (Series 27)
  of your Broker Dealer
• Monthly accounting supervised by licensed CPAs
• Up-to-minute Net Capital Computation and trend analysis
• Quarterly or Monthly FOCUS II or IIA preparation, reviewing, and
  electronic filing
bull; SIPC 6 and 7 Reports (if applicable)

Our accounting department is fully automated with access to
online accounts, books and records, and we even visit your firm
for onsite reviews.