Starting a new Broker/Dealer can seem like an overwhelming task. Our experienced consultants can perform the majority of the workload for you.
If you have a Change in Ownership or a Material Change in Business Operations, you must file for approval with FINRA, pursuant to rule 1017.
Outsourcing your FINOP Services allows you to focus on your core business, and ensures accuracy and compliance in your financial department.
The USA PATRIOT Act of 2001 requires that all securities firms establish an AML Compliance Program to prevent and detect the act of money laundering.
Finding the time to read and analyze all the information your firm receives from regulatory agencies can be challenging. We can help!
Brokerage Consulting Group offers complete Website development, email marketing and online marketing services. And more!