Here is an outline of our available services:
Registration
- File an initial application to become a FINRA Member
- File a Continuous Membership Application to engage in a new line of business
- File initial application to become an MSRB Member
- File an initial state registration
- Ongoing state registration filings for broker-dealers, and handle inquiries
- Handle registration problems for registered representatives with significant disciplinary histories
CRD Registration
- Perform CRD registration issues on an outsourced basis
- WEBCRD Administrator training
- U-4, U-5, Form BD, Form BD, Form BR processing
- Determine qualifications and examination requirements of registered personnel
- File annual “Limited Size and Resources” exemption
- NCS “Save/Verify” within 17 days after each quarter
- WEB IR and response to regulatory inquires
- New hiring procedures
Compliance Examinations
- Prepare for an examination
- Conduct an in-depth mock examination
- Create a List of Required Files for regulatory exams
- Write responses to examination findings, exit conference, LOC
Continuing Education Program
- Design a CEP including the Written Needs Analysis, and Written Program
- Prepare Firm Element, presentation and training agenda for registered representatives
- Conduct training sessions
- AML Continuing Education and training
Other Annual Requirement
- Conduct Annual Compliance Meetings, design meeting content and questionnaires
- Annual Internal Inspection of the OSJ
- Conduct Branch Inspections
- Write Annual Disclosures to Customers Document
- Margin Disclosure
- Uncovered Options Disclosures
- CEO Annual Report and Certification, test compliance procedures
- Regulation S-P
- Delivery of the Privacy Policy
- After Hours Disclosure
AML
- AML Independent Testing and written report to senior managers, (annual requirement)
- AML WSP
- Filing SARS
- FinCen Requirements Patriot Act Section 314 (a) and (b)
- Customer Identification Procedures
- Foreign Banks
International Equity Research Sales
- SEC Rule 15a-6, no-action letters
Written Supervisory Procedures
- Review Compliance Manual, (annual requirement)
- Write a Compliance Manual hand tailored to a particular line of business
- WSP for retail/institutional business
- Revise procedures according to new rules, new product areas and examination deficiencies
- Equity Research WSP, Checklist for Approval of Equity Research, Preparation of the Required Disclosure, Letter of Attestation, Quarterly Attestation regarding Public Appearances
- Penny Stock Regulation and WSP
- Options, WSP
- Supervisory Controls
- Fixed Income
- Restricted securities sales
- Private Placements, escrow agreements
Review and Write Website Content, Advertisements, Recruit Advertisements and Sales Literature
Handle and Respond to Customer Complaints
Business Continuity Plans
- Annual Review of the BCP
- Delivery of the BCP 3510(e) Disclosure
Trade Reporting
- TRACE
- MSRB Dealer Feedback
- ACT reporting
- SEC Rule 11Ac1-5/1-6
- Retail and institutional trade review
Miscellaneous
- Prepare 15c2-11 filings
- HR issues
- Insurance needs
- Email/IM retention and archiving
- Negotiate clearing agreements
Registered Investment Adviser issues, procedures, Code of Ethics