Standard Services Specialized Services Pricing About Contact
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Keeping You One Step Ahead

Registered broker-dealers have a duty to build effective programs that are reasonably designed to ensure compliance with applicable laws and regulations. Compliance Administration, LLC determines the unique characteristics of each client and designs, implements, and/or updates compliance policies and procedures customized to focus on each firm’s current goals and needs.

 

Offering a Wide Array of Standard Services
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Standard Services:

  • Annual Compliance Certification for Personnel
  • Business Continuity Plan-Annual Review and Update
  • Continuing Education Training Plan Review and Update
  • FINRA and Exchange Broker-Dealer Applications and Rule 1017 Filings
  • Annual Renewal of Broker-Dealer and Registered Rep Registrations
  • Firm Element Training and Tracking
  • Regulatory Element Notification and Tracking
  • Employee Personal Trading Record Keeping
  • Monitoring and Updating of FINRA Gateway and WebCRD
  • Quarterly Compliance Meeting Presentation Template
Great Offering of Specialized Services
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Specialized Services:

  • FINRA and Exchange Examinations
  • Supervisory Procedures Manual Preparation, Review and Update
  • Web CRD Services U-4, U-5, and Form BD Filings, etc.
  • Website, Advertising and Sales Literature Review
  • Anit-Money Laundering Independent Audit Procedures

Compliance Administration, LLC

65 Broadway, Suite 606

New York, New York 10006

 

Phone: 212-430-3810

Fax: 212-430-3869

E-mail: dlewis@compliadmin.com