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
