Broker-Dealer Services

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