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 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.

 

Contact SDDco Regulatory Services LLC for an introductory consultation regarding any of these broker-dealer services: (212) 751-4422 or info@sddco.com.

Learn More by Downloading Our Broker-Dealer Membership & Compliance Services Brochure

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Are you interested in Broker-Dealer or Investment Advisor Registration, Compliance Consulting, Accounting, Tax or FinOp Services? You can reach us at info@sddco.com or 212-751-4422.

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SPEAK TO AN SDDco CONSULTANT

 

Are you interested in Broker-Dealer or Investment Advisor Registration, Compliance Consulting, Accounting, Tax or FinOp Services? You can reach us at info@sddco.com or 212-751-4422.

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SIGN UP FOR OUR CYBERSECURITY ALERTS

 

Are you safe? In today’s digital world the potential for a security breach is always looming. Get our Cybersecurity Alerts to ensure your data is protected.