Experience

We are regulatory compliance consultants, husbands, wives, fathers, mothers, sons, daughters, brothers and sisters. 

Our clients are SEC registered, FINRA member broker-dealers. 

Many are non U.S. entities and it’s been great to earn their trust as well.   

All of our clients are interesting and do interesting, entrepreneurial things. We enjoy working with each and every one of them. They collectively make for our never a dull moment existence. We are constantly on our toes. 

Within the broker-dealer world we guide companies through the Financial Industry Regulatory Authority (“FINRA”) new member application process and through changes or amendments to their existing broker-dealer business models.  

We  provide comprehensive guidance during, and can further administer, the FINRA application seeking approval of changes in ownership and/or business models for example.

If you need ongoing compliance support for your broker-dealer we can help there as well. Additionally, one of our staff can register with your broker-dealer firm as a Financial & Operations Principal (“FINOP”).

We work closely with accountants and other service providers in the industry.

You’ll find further (excruciating!) detail respecting what we can help you with by clicking the, ahem, “How We Can Help” link on the menu bar above.

If we choose to work together, you’ll find that we approach the provision of our services differently than most. Over time we have found that many of our clients have what they need or know what they want, but need to be made aware of the fact. We’ll always attempt the simplest solution possible and work in reverse. What is essential to solving an issue or otherwise helping a client is usually within the initial grasp of the situation and we attempt to provide our clients clarity by removing everything that is not essential to helping them.

We believe in “less but better.”

Hope to hear from you.

The Modern Regulatory Services Team