Expert Securities Enforcement and Compliance Representation

We assist investment advisors and broker-dealers with the development, auditing, and testing of compliance policies, procedures, and systems. We also assist broker-dealers with the internal inspections, annual evaluations, and certifications required by FINRA Rules 3010, 3012, and 3013. We also conduct SEC Rule 206(4)-7 annual reviews for investment advisors. Our experience also includes conducting mock examinations for investment advisers and broker-dealers.

We provide principled and sensible advice. We regularly counsel RIAs and broker-dealers on all aspects of the federal securities laws and FINRA rules.