Czurchy Law Firm offers an array of broker dealer compliance services.  These include:

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

Think your firm is too small for SEC oversight?  Click here to read comments on the Securities and Exchange Commission (“SEC”) position on SEC oversight of small companies.