Services
Broker/Dealer
- FINRA New Membership Applications (“NMA”)
- FINRA Continuing Membership Applications (“CMA”)
- Overall Compliance Strategies and Execution
- Outsourced CCO
- Written Supervisory Policies and Procedures
- Annual Anti-Money Laundering Assessments
- Advertising and Sales Literature Reviews
- Customer Transactions and Employee Personal Trading Reviews
- E-mail Reviews, including implementation of surveillance platforms
- Financial and Operations Principal (FinOp) Services
- Annual Compliance Meetings and Firm Element Training
Investment Advisor
- Outsourced CCO
- Overall Compliance Strategies and Execution
- Creating and Updating Code of Ethics and Compliance Policies and Procedures Manuals
- Marketing Material Reviews
- Customer Transactions and Employee Personal Trading Reviews
- Rule 206(4)-7 Annual Compliance Reviews and Mock Audits
- Rule 206(4)-7 Annual Compliance Reviews and Mock Audits
Investment Bank
- SEC 15a-6 Chaperone Broker-Dealer Services
- Assistance with obligation to comply with research safe harbors rules (e.g. – Securities Act Rules
137, 138 or 139, Regulation M, Rules 14e-3 and 14e-5 under the Securities Exchange Act of 1934), while working with your SAs to efficiently publish and issue research. - Comply with research disclosure requirements per FINRA rule 2241 and 2242
- Comply with Wall crossing requests
- Chaperone interactions between research and investment banking personnel
Principal Designations
- NFA Principal
- Option Principal
- General Securities Principal
- Investment Advisor Principal
- Municipal Securities Principal
- Financial/Operations Principal
- Securities Trader Principal
- Investment Banking Principal
- Supervisory Research Principal
