Compliance

Our Team has 25 years experience dealing with the regulatory requirements for FINRA/SEC registered brokerage and advisory firms. Whether you are starting a broker/dealer, already operating a b/d, or considering buying or selling a broker/dealer we have experience in all these situations. We can help you with all phases of the regulatory process from filing State applications to authoring your Written Supervisory Procedures [WSP] manual and Anti-Money Laundering [AML] program.

Additionally, if you are operating a crowd funding site or thinking about launching Internet Crowd Offering platform, we can help you navigate through the JOBS ACT and how to avoid breaking securities laws.

 

Don’t assume your Adviser or Broker is in Compliance just because they are registered

 

 

 

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