SDDco Regulatory Services, LLC (SDDco-RS) provides full-service compliance consulting to broker-dealers (BDs) seeking FINRA membership application services, ongoing regulatory compliance, CRD Registration Services, consulting and support. SDDco-RS can also provide a qualified FINRA Series 24 registered consultant to serve as your firm’s designated Chief Compliance Officer (CCO) or assume other supervisory roles under your CCO.
FINRA New Membership Application (NMA) requirements are extensive and exact, and SDDco-RS pilots the entire process. Success hinges on understanding the client’s business, formulating appropriate responses to FINRA information requests, and full membership interview preparedness. Our consultants are skilled in this meticulous process, having represented firms of varied size and structure. SDDco-RS also assists with the FINRA Continuing Member Application process as it relates to changes in your current business.
We specialize in ongoing regulatory support via on-site visits, off-site accessibility, and informed guidance. Our consulting team offers a suite of compliance services on a retainer or project basis supporting your in house CCO.