FINRA AND EXCHANGE BROKER-DEALER APPLICATIONS AND RULE 1017 FILINGS
Compliance Administration will prepare FINRA and Exchange broker-dealer applications and Rule 1017 filings for new business lines and business expansions.
FINRA AND EXCHANGE EXAMINATIONS
Compliance Administration will provide assistance in all aspects of your firm’s regulatory examinations, providing strategic oversight for responding to specific requests from examiners and acting as a liaison between the examiner and the firm.
SUPERVISORY PROCEDURES MANUAL PREPARATION, REVIEW, AND UPDATE
Compliance Administration will review and update Written Supervisory Procedures and Anti-Money Laundering Programs incorporating current FINRA and SEC rules and regulations. A current version will be provided to the firm.
WEBCRD SERVICES U-4, U-5, AND FORM BD FILINGS, ETC.
These services include filing initial or amended Form U-4, Form U-5, and Form BD, and also monitoring firm deficiencies noted by FINRA on WebCRD (Initial filings charged per new hire).
WEBSITE, ADVERTISING, AND SALES LITERATURE REVIEW
Our team will review and evaluate individual and firm advertising and/or sales literature for regulatory compliance.
ANTI-MONEY LAUNDERING INDEPENDENT AUDIT PROCEDURES
One of our compliance specialists will review the firm’s documentation in preparation for this required annual review. An independent auditor who meets all FINRA requirements for independence, knowledge, and training in the Bank Secrecy Act will audit the firm’s AML procedures. A report of findings will be provided to the firm with recommendations for improvement.
PREPARATION OF FIRM’S ANNUAL COMPLIANCE REPORT PURSUANT TO FINRA RULE 3012
Compliance Administration will prepare a gap analysis and compile an annual compliance report for your firm. We will also provide supporting documentation to satisfy the requirements of FINRA Rule 3012.
CUSTOMER ACCOUNT FORMS
Compliance Administration will create new account forms for customer accounts including requisite information and disclosure to ensure compliance with FINRA Rules and Regulations.