127 Main Street
Lilburn, Ga. 30047
Ph: 770-923-9632
Fax: 770-923-9760
Hours of Operation: 9am-5pm Monday - Friday, ET
   
 
 
 

Cost-Effective Solutions for Your Compliance Problems

 
 

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B/D Compliance Associates, Inc. provides service that exceeds your expectations. We are genuinely interested in your firm's business model, and take the time and effort to understand your firm and its unique compliance consulting needs.

Some of the many services offered by BDCA include, but are not limited to:

  • Ad hoc broker/dealer compliance consulting. Compliance questions frequently arise that are outside of the expertise of existing internal staff. Our on-call service will help you find a time efficient solution.

  • Complete FINRA/SEC broker/dealer registration packages. Our turnkey solution provides a one-stop shop for your firm's FINRA, SEC & Home State registrations. Our system includes preparation of your firm's Written Supervisory Procedures Manual, Continuing Education Training Plan, preparation of all FINRA & SEC forms, and liaison services between you, the regulators, and your clearing firm.

    FINRA has 180 days from the date of receipt of an application to render a decision. Some of the FINRA Membership Applications prepared by B/D Compliance Associates, Inc. have been approved in less than 90 days. *

  • Annual Internal Compliance Inspections of all business lines (required by FINRA for every B/D).
    We use the same examination techniques utilized by FINRA. Our internal compliance inspections help your firm detect and/or prevent potentially costly and embarrassing compliance issues.
      • FINRA Conduct Rule 3010 requires an annual internal review of the firm's supervisory systems
      • FINRA Conduct Rule 3011 requires an annual "independent test" of the firm's
        Anti-Money Laundering Policies & Procedures
      • FINRA Conduct Rule 3010 also requires on-site inspections of all remote office locations on a reasonably designed schedule

  • Continuing Education - Firm Element. B/D Compliance Associates, Inc. conducts the firm's Needs Assessment and prepares the Training Plan. This service is also nicely complemented by B/D Compliance Associate's Annual Compliance Meeting service.

  • Written Supervisory Procedures Manuals. Our service is flexible enough provide the size and scope of service your firm needs, from the preparation of complete custom manuals to minor updates.

  • Annual Compliance Meetings. FINRA Conduct Rule 3010 requires an annual compliance meeting to be held with all registered personnel. We will prepare a complete agenda based on your firm's business mix and current regulatory trends. We can also conduct the meeting at your firm's chosen location.

  • Review & Analysis of FINRA/SEC matters ; including but not limited to Continuing Membership Applications (FINRA Rule 1017), FINRA arbitrations, customer complaints and regulatory audits.
*Results are not typical, and require the applicant firm to have appropriate supervisory principals on staff at the time of the initial application. Other factors may greatly effect your firm's actual application timeline.*
 
     
 

         
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