We deliver customized compliance support to fit your individual business needs at an affordable price!
Initial Membership Applications with FINRA
Change of Membership Applications
Multi-State Registrations - all US jurisdictions
Agent Registrations (U4s)
NFA Registrations (Firm & Individuals)
Regulatory Compliance Services
AML Procedures Setup and Implementation
or AML Independent Testing
Branch Office Setup and/or Auditing
Books and Records Auditing (Pre-Exam)
Compliance Meetings - Annual
Continuing Education Training Plans
Supervisory Controls Assessments
Supervisory Procedures Implementation
WebCRD Training or Support
At Registration Solutions, we offer a full spectrum of registration and compliance services to all types and size broker-dealer firms.
We are dedicated to providing personalized professional services on a proactive basis, before compliance matters become a regulatory issue. And we deliver customized support that meet your specific needs and budget.
Finally, we have established relationships with current and former securities regulators and other industry professionals, as well as network among several experienced compliance professionals in all aspects of brokerage compliance matters.
IA Compliance & Consulting - Suzette Surman - www.iacomplianceandconsulting.com
LeGaye Law Firm - Daniel LeGaye - www.legayelaw.com
Solid Rock Consulting - Robert Falkenberg - firstname.lastname@example.org
Houston Mobile Fingerprinting - Barry McDermott - www.houstonmobilefingerprinting.com
Holmes Detective Bureau (NY fingerprinting) - www.holmesdetective.com
Various Part-Time FINOP Relationships
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