Broker-Dealer Compliance Services

At Core Compliance & Legal Services, Inc. ℠ (“Core Compliance”), we offer a wide range of services for those looking for broker-dealer compliance consulting. We provide assistance to those who are initially registering, implementing, or looking to enhance their existing compliance program. Our specialists can help with registration and FINRA compliance requirements, as well as assist with the development of effective written supervisory procedures. For established broker-dealers, we offer assistance for those requiring updates to membership applications, as well as guidance with ever-evolving regulatory standards to ensure requirements and deadlines are met.

Our team offers comprehensive evaluations, enhancement of internal controls, implementation of technology, and practical compliance solutions. We have extensive experience in the securities industry, with a deep understanding of the complexities and intricacies of a broker-dealer. Whether you’re in need of comprehensive compliance solutions or individualized services, we work to meet the unique needs of your business – with solutions that support your firm’s overall compliance efficiency.