Broker-Dealer & FINRA Compliance Consulting Services

The application process for FINRA membership is detailed and complex. For those clients who wish to become a broker-dealer, Core Compliance & Legal Services, Inc.℠ ("Core Compliance") can help by processing its new broker-dealer membership application on your behalf. We will help you with registration and FINRA compliance requirements and assist with the development of effective written supervisory procedures. Core Compliance can also assist those broker-dealers requiring updates to its membership application and assist you with the ever-evolving regulatory requirements.

Simplifying BD Compliance

Core Compliance offers a variety of broker-dealer consulting services to meet the compliance needs of your broker-dealer. Whether you require a tailored service, such as advertising reviews or ongoing consulting assistance, Core Compliance will customize our proposal to your business needs.

Let our experienced team of consultants assist you with:

• Broker-Dealer Compliance Guidance and WSP Development
• Performing Annual Compliance Reviews, Gap Analysis and Testing
• Licensing and Registration Services
• Conducting Branch Office Audits
• FINRA Examination Preparations and Oversight
• Advertising and Sales Literature Reviews