Broker / Dealers

SEC Compliance Consultants, Inc. offers an extensive suite of customizable compliance consulting and training services for FINRA and SEC regulated Broker-Dealers, on either a one-time or recurring basis depending on your needs.

With a focus on best practices and industry regulations, examples of services include, but are not limited to:

• Written Supervisory Procedures Review
• Email Reviews
• Mock Audits
• Supervisory Review
• Mutual Fund Sales Practices Reviews
• Reviews of Correspondence with Clients
• Trading Review & Analysis
• Reviews of Required Books and Records
• AML Review