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Broker Dealer
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Securities and Exchange Commission (“SEC”) Comments
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Licensing and Registration
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Regulator Inquiries
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Customer complaints: identification, characterization, compromise, resolution and settlement
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FINRA mediation and arbitration
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Gramm Leach Bliley’s Reg. S-P, Privacy Policy and Waiver
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FINRA Rule 3012-3013 Testing and Verification
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WSP and Compliance Manual Drafting/Consultation
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Exception Reports
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Mock Branch/OSJ Audit
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Audit Preparation/Consultation
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Audit Response
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Annual Compliance Meeting and Questionnaire
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Firm Element and Continuing Education
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Outside Business Activities
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Background Checks/Advisor Profiling