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.

 

 

 

 

Copyright &Trademark 2004-2018 Registration Number: 3257358, 3347108