​​​​​     Kathy Lindh  (208)409-8077

FINRA, SEC Compliance Services for Broker-Dealers and RIA firms

Seasoned Compliance professional assisting Broker-Dealers and Investment Advisers interpret and apply regulatory requirements through audits, testing, and the delivery of services designed to strengthen supervisory controls and support ongoing adherence to FINRA, SEC, Federal and state regulatory obligations.

• SEC, FINRA, and State Regulations
  
• FINRA CRD, IARD filings and licensing​
  
• ​AML, WSP and compliance Manuals
  
• Main, Branch and SEC Rule 206(4)-7 Audits
  
• Regulatory Examination support
• Advertising , trade, SM and email reviews
  
• Click on Services Below for more....

​    ​​​​​Broker-Dealer Com​pliance, LLC

FINRA Regulatory Compliance Services