Broker Dealer

Ø FINRA New Membership Application (“NMA”) and Coninuing Membership Applications (“CMA”) Written Supervisory Procedures (“WSP”), AML Procedures, BCP Manual, Ongoing Registration services – Form BD, U4, U5, BR, Registration Waivers, Annual CEO 3120 & 3130 Certification Reports AML Independent Testing Compliance Calendar Outsourced CCO – interim and permanent Marketing Material and Sales Literature Reviews Continuing Education Compliance Training – Annual or Periodic Branch Audits, Email and Social Media Surveillance FINRA and State Regulator Support, inquiries and responses General Compliance Support