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Ongoing Broker / Dealer Services order in Dallas
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Ongoing Broker / Dealer Services

Ongoing Broker / Dealer Services

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USA, Dallas
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Description
BDC does not stop once the firm gains FINRA membership. We are there to continue to assist the firm in all aspects of its business. Some of our services include:
  • Registration & Licensing Broker/Dealers and Individuals
  • Rule 1017 filings- Firms change of ownership, add product line etc.
  • Accounting, Net Capital & Focus filing
  • Net Capital requirements
  • Continuing Education Needs Analysis and Training Plans and Courses
  • Annual Reviews
    • Anti-Money Laundering
    • Rule 3012/3013
    • Branch Office exams
  • Annual Compliance Meetings
  • Written Supervisory Procedures
  • Answering day to day questions
  • Interface with regulators
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Ongoing Broker / Dealer Services
Ongoing Broker / Dealer Services
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