Broker-Dealer Services
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- Advertising Reviews
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- Advise With Regard To Rule Changes
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- Annual Compliance Meetings
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- Anti-Money Laundering Programs
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- AML Reviews & Filings
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- AML Independent Testing
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- Back-Office Support and Training
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- Best Execution/Trading Reviews
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- Book and Recordkeeping Systems
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- Branch/OSJ Audits
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- Business Continuity Plans
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- Compliance Program Reviews
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- Compliance/Technology Reviews
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- Continuing Membership Applications (CMA)
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- Correspondence Reviews
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- Cost Reduction Reviews and Recommendations
- Firm Element Needs Analysis & Continuing Education
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- Heightened Supervision Plans
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- Materiality Consultations (MATCON)
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- Mock Audits
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- New Hire On-Boarding/Processing
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- New Member Applications (NMA)
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- Outside Account Activity Review
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- Outside Business Activity Review
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- Private Securities Transaction Reviews
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- Recruitment Assistance
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- Registration & Licensing to Web CRD
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- Risk Assessments
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- Respond to Regulator Inquiries
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- Reviews of Firm and RR Registrations (including states)
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- SRO Audit Preparation Assistance
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- Supervisory Controls Reviews
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- Training
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- WebCRD Administration
- Written Supervisory Procedures