It has been an exciting year for Securities Compliance Management (“SCM”). The Firm has successfully:

  • Initiated numerous New Membership Applications (“NMAs”) for new firms seeking the Financial Industry Regulatory Authority’s (“FINRA”) approval,
  • Initiated several Continuous Membership Applications (“CMAs”) for existing firms that are planning to undergo a material change in their line of business operations,
  • Partnered with new broker-dealer and registered investment advisor firms to assist them with their FinOp and/or compliance programs, and
  • Assisted in the buy/sell of existing broker-dealer firms.

Along with the new relationships that Securities Compliance Management has established this year, the Firm is also incredibly thankful for the many long-term relationships that continue to put their trust in SCM to provide value to their firm’s compliance and operational programs.

So, the question is… how can Securities Compliance Management help you? Are you thinking of buying/selling a broker-dealer firm, starting a new broker-dealer firm or a registered investment advisory firm, or does your existing firm struggle to keep up with the complex and ever-growing set of regulations and laws governing the securities industry? If yes to any of these questions, consider letting Securities Compliance Management be your firm’s ultimate solution and your all-in-one compliance management company.

SCM has a professional team of compliance professionals with experience in a broad range of fields, including legal, regulatory, operations, accounting, supervisory, trading, data analysis and technology. Securities Compliance Management offers a wide range of compliance management solutions to help your firm establish, implement, and maintain an effective system for achieving compliance with the securities laws, rules, and regulations governing its business.

Broker Dealers Services

Start a Broker-Dealer, Buy or Sell a Broker-Dealer, Changes in Membership, Regulatory Applications, FinOp Services, CRD Administration, AML Audit, Compliance Software, Training, Broker-Dealer Consulting, Active Management.

Registered Investment Advisors

New RIA startup, ADV Part 2A and 2B, Wrap Fee Brochure, Code of Ethics, IARD Administration, Annual Filings, Risks Assessments, Advertising, Compliance Software, Training, RIA Consulting, Compliance and Forensic Testing, Active Management.

If you need guidance regarding any of the above-mentioned products or services, contact Securities Compliance Management here, and allow our team to prove to you why we are market leader in the securities industry. We look forward to getting to know you, for you getting to know us, and together, discovering the strategies and tools needed to transform your vision into reality and/or to assist you in building a solid compliance program within your existing firm.