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.