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Broker – Dealer

Our compliance services are designed to distinguish the attributes of each client’s business; full service retail, institutional DVP/RVP execution only, Private Placement or Third Part Marketer. Your assigned RegMaven Compliance Consultant will lead a team of additional compliance resources required to provide you with a bench of expertise to address all your current and future regulatory compliance necessities.

Your compliance support services can be bundled into an annual agreement or contracted separately. Either approach will be designed to fit your company’s or compliance division’s budgetary requirements.

Our compliance support services include:

o Compliance Assessment
o FINRA Registration – NMA
o Continuing Membership Application -1017 Filing
o Outsourced Chief Compliance Officer or Registered Principal (S-24)
o Branch Exam Program Broker Dealer, Bank BD
o Compliance Consulting
o Independent AML Procedural Testing
o FINRA 3012 (3120 12/2014) Supervisory Procedures Testing
o SEC/FINRA Books & Records Exam and Mock Exam
o Trade Desk Review 15c3-5 – Market Access

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