Broker-Dealer Registrations & Program Assistance

Coast to Coast Compliance can help your firm build, or otherwise maintain, a strong broker-dealer compliance program.

Coast to Coast Compliance can streamline the registration process and assist with various ongoing broker-dealer compliance requirements, which often include the following key service offerings:

  • Assistance preparing and filing the Form BD, Forms U-4 and U-5
  • Assistance preparing business plan and documentation of supervisory system
  • Assistance preparing or reviewing existing written supervisory procedures
  • Assistance with required annual testing, annual compliance report, and annual compliance meeting
  • Assistance with firm-wide, new-hire, or other customized compliance training
  • Assistance developing or reviewing existing Business Continuity Plan
  • Assistance developing an Anti-Money Laundering Program
  • Assistance conducting independent anti-money laundering testing
  • Assistance with FINRA requests, registrations, interviews, exams, etc.  
  • Assistance with any other regulatory requests, registrations, interviews, exams, etc.
  • Ad hoc compliance program assistance

Coast to Coast Compliance can also provide assistance with the compliance requirements associated with Regulation Best Interest, including a firm's disclosure obligations, duty of care obligations, conflicts of interest obligations, and additional compliance obligations.

If you have any questions about Coast to Coast Compliance or would like to know more about how we can help your firm, please reach out to us.
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