About Us

Why Choose us?


Regulatory Experience

Our staff has years of SEC, NFA and FINRA experience. We’ve conducted thousands of examinations and have evaluated the compliance and control environments of all types of firms from specialty boutiques and proprietorships to some of the largest complexes offering every product and service imaginable. We stay attuned to the regulators’ ever-changing examination and enforcement initiatives.

Industry Experience

Our staff has worked for some of the largest investment managers and complexes in the country, serving in various compliance and operational capacities. Additionally, our professionals are frequent speakers at industry conferences and are often quoted in industry publications.

Economies of Scale

Our experience and wealth of resources enable you to receive premium services without detracting from your primary business of investing. Engaging SEC³ is more cost effective than hiring additional internal compliance staff.


We stay connected and informed. Our involvement in professional associations complements our awareness of trends and future shifts in regulation from new rules and interpretations, to new investment products and services.

Client Breakdown

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