MODERN REGULATORY SERVICES LLC

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How we can help.

Right now, you’re looking for clarity and accurate, simple solutions to your compliance matters. You need a team who can turn the rules governing what you do into working procedures and documents that accurately reflect your specific business. Don’t suffer from “regulation anxiety” by settling for supervisory procedures that are not doable and internal documentation no one understands.

There’s a better way. Let us show you.

We’re Modern Regulatory Services LLC and we’re here to take care of your regulatory, compliance and financial reporting concerns, so you can focus on helping your clients and growing your business. We work with FINRA on a daily basis (not exaggerating) and with state regulators regularly. We always have our ears to the ground.

Whether you need to form a new broker-dealer, require ongoing compliance and financial reporting support, or are in need of a professional FINOP candidate, we can help.

We take a sincere interest in our clients and operate on the belief that we should give all that we know.

What do you want to know?

Just Ask!

“Knowledge is power, yes, but clarity is powerful. In the compliance world clarity is the result of beginning with the simplest solution possible and working in reverse, adding only what must be added in order to become and remain compliant. In other words, you don’t add what is essential, you remove what is not. The concept of ‘less but better’ cannot be overestimated.”

—Gregory Levine, Partner

“The Modern Regulatory Services staff’s extremely practical regulatory guidance informs their clients on what to do rather than just summarizing what the rules state. They work thru issues logically through the eyes of my broker-dealer’s business, which makes their advice very useful and its implementation seamless.”

Morgan D., General Counsel, Institutional Broker-Dealer Firm, New York, Germany, Switzerland

“It has been 10 years now since we asked Modern Regulatory Services LLC to help us establish our broker-dealer, and since that time they have continued to provide us with very thoughtful and on point compliance and financial reporting support. We would highly recommend that any broker-dealer firm who struggles with FINRA compliance reach out to this company.”

Mario L., CEO, Broker-Dealer, Greenwich, CT