August 17, 2015

Broker/Dealer

COMPLIANCE SOFTWARE

MasterSupervision is our proprietary automated compliance management system that streamlines the process of compliance that will empower your firm to define and implement an effective compliance program.

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TRAINING

MasterTracking is our product offering that provides our clients with videos related to several targeted compliance topics. Clients have the ability to select any number of videos within our libraries and are able to utilize a custom training portal that is for exclusive use of the targeted audience. We also offer firms assistance with the development of their annual Needs Analysis and Training Plan and Annual Compliance Meeting.

BROKER/DEALER CONSULTING

We have assembled a team of regulatory, compliance, and operations experts that work together to bring several decades of combined experience and points of view for our clients that may be applied to providing support for all types of regulatory matters as well as routine and difficult compliance related questions.

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START A BROKER/DEALER

Broker/dealer start-ups require an intense amount of effort and personnel. Our goal is to provide best in class services based on each client’s needs and help you reach your final goal in accordance with your budget. As our experts have set up numerous broker/dealers, our team can expedite the start-up process for you.

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BUY OR SELL A BROKER/DEALER

Purchasing or selling a broker/dealer can be accomplished through various purchase/sale structures custom tailored to specific situations. One advantage to purchasing/selling a broker/dealer is often times the deal can be closed in a very short time.

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CHANGES IN MEMBERSHIP FOR A BROKER/DEALER

Material changes to a broker/dealer’s business activities, including adding additional reps or branches beyond the safe harbor provisions, or changes in your ownership structure may require the firm to file an application (CMA) with FINRA pursuant to Rule 1017. We offer experienced personnel to assist in preparing these filings and acting as the liaison with FINRA staff during the approval process.

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FINOP SERVICES

We have a team of experienced Principals able to act as your firm’s FinOp on an interim or permanent basis. Our staff has experience with a large number of firms that range in services, from retail, institutional, to investment banking only. We will assign one of our team members to assume the duties traditionally performed by the FinOp, from oversight of the financial books and records of the firm to filing the FOCUS Report.

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ACTIVE MANAGEMENT

MasterCompliance offers ongoing compliance management to broker/dealers through written notifications and conference calls related to upcoming changes in regulation (new and amended rules, regulations, and laws) and regulatory hot topics as well as reminders of upcoming periodic regulatory requirements (annual audit, Rule 3120/3130, annual MSRB and FINRA renewal fees, etc.)

REGISTRATION AND LICENSING

MasterCompliance offers assistance to broker/dealers through the drafting and filing of exam waiver requests/Form BD updates/Form BR updates/ Form U4/U5 filings as well as state notice filings and general CRD administration.

For Registered Investment Advisers

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