Knowhow. Experience. Diligence.

Our firm specializes in building broker-dealer operations, infrastructure and supervisory systems within the context of an application for new membership with FINRA.

The specialization extends to managing the ongoing compliance structure of active brokerage operations as well as any continuing membership application with FINRA for added business lines.

Other areas of unique expertise include clearing operations, digital asset securities, and the market access rule – including risk infrastructure, pre-trade systems and post-trade surveillance.

Considered as leading subject-matter experts in these fields, we have worked with and across from examiners and attorneys of FINRA, the SEC and the national exchanges through investigations and examinations, filings, presentations, research analyses, Undertaking reports and On-The-Record (OTR) testimonies.

As a result, we have gained a comprehensive understanding of what it takes to simultaneously protect and propel the interests of a stakeholder operating within the brokerage industry, keeping one eye on profitability and another on risk structure.