What We Offer

Compliance Services

Comprehensive FINRA, SEC, and state compliance services for Broker-Dealers and Registered Investment Adviser firms.

Regulatory Audits

Comprehensive audits of your firm's supervisory systems and controls to identify gaps and ensure ongoing regulatory compliance with FINRA, SEC, and state requirements.

Main Office Audits
Branch Office Audits
SEC Rule 206(4)-7 Annual Reviews
Supervisory Control System Testing
Gap Analysis and Remediation

Filings & Licensing

Accurate and timely preparation and submission of all required registration and licensing filings with FINRA, the SEC, and state regulators.

FINRA CRD Registration Filings
IARD (Investment Adviser Registration Depository)
Form U4 and U5 Amendments
Form ADV Preparation and Filing
State Registration Filings

Compliance Manuals

Drafting, reviewing, and updating Written Supervisory Procedures, AML programs, and other compliance documentation tailored to your firm's specific business activities.

Written Supervisory Procedures (WSP)
Anti-Money Laundering (AML) Programs
Compliance Policies and Procedures
Annual Review and Updates
Customized to Firm's Business Model

Examination Support

Hands-on support before, during, and after FINRA, SEC, and state regulatory examinations to ensure your firm is prepared and responsive.

Pre-Examination Preparation
Document Gathering and Organization
On-Site Examination Support
Regulatory Response Assistance
Post-Examination Remediation

Advertising Reviews

Review of all firm communications and advertising materials to ensure compliance with FINRA Rule 2210, SEC advertising rules, and applicable state regulations.

Retail Communications Review
Social Media Compliance
Email Correspondence Review
Trade Confirmations and Account Statements
Website and Marketing Material Review

Supervisory Controls

Design and implementation of robust supervisory control systems to support ongoing adherence to FINRA, SEC, and state regulatory obligations.

Supervisory Control System Design
Annual Certification Support
Ongoing Compliance Monitoring
Training and Education Programs
Regulatory Change Management

Need Compliance Assistance?

Contact Kathy Lindh at (208) 409-8077 to discuss your firm's specific needs.