Get a free compliance assessment consultation 

By completing the form, we can schedule a 60 minute, non-sales discovery call with our compliance delivery team.

NOTE:  This is not a sales pitch, but rather a straight talk Q&A educational session on your organization's compliance needs

During this 60 minute consultation, our compliance team will explain:

  • FINRA Registration and Membership
  • FINRA and SEC Broker-Dealer latest rules simplified
  • Baseline criteria of KYC (Know Your Customer) protocols under the guidance of FINRA
  • FINRA CAB (Capital Acquisition Brokers) registration and Non-CAB practice
  • CAT (Consolidated Audit Trail) compliance Checklist
  • FINRA Compliance Calendar Year deadlines advisory 
  • FINRA Sanctions Guidelines and compliance
  • Compliance with current landscape assessment

Let's talk about your compliance needs