Customized Compliance Solutions

Compliance Advisers has been offering customized compliance solutions to the securities industry for more than twenty years. We are proud of our past successes, and will continue to strive for the same success into the future.

When we began as a small one-person firm, integrity and trust were the keys to our future success. We were right. Today we still believe in these values, and practice them on every project. These beliefs have made our firm an industry leader in providing customized compliance solutions for our customers.

We service small to medium sized clients throughout the United States and only highly qualified consultants serve them.

Click here to inquire or call us today at (303) 795-0400 for a service quote customized specifically for your business needs and budget.

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Client Downloads

Here is your download information formatted for you to send directly to FINRA.

File

Compliance Advisers tries to go above and beyond what standardized compliance companies by providing everything you need for your filing to make sure you don’t run into trouble (or if something gets kicked back, we’ll be there to help return the volley). So, in addition to providing necessary things with your filings, we’ve included some frequently used forms, ordering sites, and format options as well as helpful links:

FINRA Website

SEC Website

Fingerprint Order Form

Compliance Advisers credentials information download

Legal Requirements

Focus Report Filing

Your company must file quarterly reports called Focus Reports. Restrictions and requirements differ between Investment Advisers and Broker/Dealers. This counts as 1 hour of education if you complete this test:

Link to test.

New FINRA Regulation

Keep your eyes open for regulatory reform in 2011 when FINRA will require new information from all Broker/Dealers. You must keep this up to date with a registered License Holder.