FINRA · SEC · State Regulations
FINRA, SEC Compliance Services for Broker-Dealers and RIA Firms
Kathy Lindh — (208) 409-8077
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.
Core Services
- 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
What We Do
Compliance Services
01
Regulatory Audits
Main, Branch, and SEC Rule 206(4)-7
02
Filings & Licensing
FINRA CRD and IARD
03
Compliance Manuals
AML, WSP documentation
04
Examination Support
Regulatory exam preparation
05
Advertising Reviews
Trade, social media, and email
06
Supervisory Controls
Ongoing FINRA/SEC adherence
Experienced. Regulatory-Ready.
You can count on expert experience with FINRA and SEC regulatory compliance personalized to Broker-Dealers and Registered Investment Adviser firms. With a comprehensive understanding of federal and state regulatory frameworks, we can deliver practical, actionable compliance solutions tailored to each firm's unique needs.
From drafting Written Supervisory Procedures and AML programs to conducting thorough branch and main office audits, our work is designed to strengthen your firm's supervisory controls and keep you ahead of regulatory obligations.
Ready to Strengthen Your Compliance Program?
Call (208) 409-8077 today to discuss your firm's regulatory needs and how Broker-Dealer Compliance, LLC can help.