SEC³

TOGETHER WE BRIDGE THE COMPLIANCE KNOWLEDGE GAP
SEC NFA FINRA

Company Overview

For over two decades, we have been providing compliance consulting services and servicing as outsourced Chief Compliance Officer. Our professionals have served as SEC regulators, chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.

Services

Registration

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Outsourced CCO

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Mock Audits

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Compliance Partnership

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ICC Services

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SEC³

Recognized Independent Compliance Leader

We offer a full suite of compliance and regulatory services to private fund advisers, asset managers, and other advisers as well as investment companies and broker-dealers.

Why Choose SEC³?

SEC Exam Tips

Download our free SEC Exams Tips here. This was put together by ex-SEC regulators with years of experience working at the SEC and in-house at registered advisers.