Please indicate the services you are interested in having Compliance Advisers provide for you. A monthly retainer quote will be prepared based on your selections.

 New Broker/Dealer

Provide comprehensive services to establish your firm as a fully-registered broker/dealer and includes all forms preparations and filings, CRD filings, Manuals, Financial record-keeping system, and Pre-Membership Interview Prep and 6-month Exam Prep
Introducing Firm Self Clearing Firm Other/Don't Know 

 New investment Adviser

Provide comprehensive services to establish your firm as a federal or state-Registered Investment adviser and includes all forms preparations and filings (ADV, contract/agreements, etc.), IARD/CRD filings, Manuals.
Federal State 

 Preparation of Monthly Financial Statements & Focus Report

Includes balance sheet, income statement, cash receipt and disbursement journals and general journal. Includes posting of cash receipts and disbursements, general journal entries, input of payroll information from your payroll provider, reconciliation of clearing firm statement to firm data, reconciliation of bank statements, net capital computation and Focus filings. Also includes follow up to any regulatory or outside auditor inquiries.

 Focus Filings Only

 Monthly Filer Quarterly Filer

 General Consulting

Provides you with a predetermined number of consulting hours each month:
Number of Hours per Month

 CRD/IARD Service Bureau

Includes Form BD/ADV filings & amendments, Form U4 and U5 Transitions filings and amendments, CE Notices, Annual Renewal Notices and general system inquiries

 Customer Complaint Reporting (NASD Rule 3070)

 Continuing Education Plan Preparation

Includes Needs Analysis and Plan Development
 Plus Presentation

 Annual Compliance Meeting

Preparation of Meeting Agenda And Materials, Recordkeeping Data
 Plus Presentation

 Anti-Money Laundering Compliance Program Development

 Anti-Money Laundering Compliance Program Testing

 State Registration Renewals

Initial Procedures Manual Review--(Check all that apply)

 Written Supervisory Compliance Reg Rep Annual Review & Update (Available only after initial review) Annual Internal Controls Testing (NASD Rule 3013)

Investment Adviser Annual Document Review--(Check all that apply)

 Form ADV Advisory Agreement Solicitor Agreement Annual Review and Update--Revised Document(s) Provided

 Notification of Key Rule Changes

Principal for Hire (Check all that apply)

 Financial & Operations General Securities Municipals CCO Options

Annual Inspections

 Home Office Branch Office(s)Indicate Number of Branches

 Business Continuity Plan Development

 Advertising, Sales Literature & Correspondence Reivew

Estimated Number of Pieces per Month

Other Services Desired--Please indicate type and quantity

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