SEC and FINRA oversight, net capital requirements, customer protection rules, and evolving standards of conduct create a demanding compliance environment for broker-dealers of all sizes.
From net capital computations to anti-money laundering programs, broker-dealers must demonstrate continuous compliance across an expanding set of regulatory obligations.
SEC Rule 15c3-1 compliance, haircut calculations, aggregate indebtedness ratios, and FOCUS reporting demand precision and timeliness.
Rule 15c3-3 compliance, segregation of customer assets, possession and control requirements, and weekly computations.
BSA/AML program requirements, suspicious activity monitoring, customer identification programs, and independent testing obligations.
Disclosure obligations, care obligations, conflict of interest mitigation, and compliance policies for retail investor recommendations.
Written supervisory procedures, branch office inspections, electronic communications review, and heightened supervision frameworks.
FINOP responsibilities, financial reporting, independent audit requirements, and annual compliance meeting documentation.
FINRA and SEC exam preparation including mock examinations, document readiness, and response support — helping you navigate the examination process with confidence.
Development, review, and enhancement of WSPs tailored to your business model — ensuring alignment with current regulatory expectations and industry best practices.
FOCUS report preparation, net capital computation assistance, and financial and operational control assessments to support your FINOP and CFO.
Rapid deployment teams to clear operational backlogs in trade reconciliation, customer account documentation, and regulatory filing requirements.
Schedule a confidential consultation with our broker-dealer specialists to discuss your firm's specific regulatory and operational challenges.