Helping the financial brokerage community to navigate the complex regulatory landscape and to retain profitability.

On the back of nearly 20 years of pragmatic operational experience, Market Access Advisors represents clients with a vested interest in traversing through the most opaque and ill-defined regulatory mandates of the securities brokerage industry.

Our clients range from clearing and introducing broker-dealers, Alternative Trading Systems (ATSs) and proprietary trading groups to risk SaaS providers, surveillance system vendors, law firms and consultants in need of definitive practical guidance and/or work product engagements. Our assignments span from conceptual advisements to a seed of an idea, to extensive audits or analyses of existing business lines. It may also entail improvements or overhauls of operational or supervisory structures within the areas of specialization as well as regulatory communications during any stage of FINRA or SEC investigations.

Taking an active, hands-on approach to our projects, we are able to customize our support to your individual needs and circumstances, bringing our extensive experience, professionalism and unique perspective into every engagement.