Broker / Dealers

Broker / Dealers

SEC Compliance Consultants, Inc. offers an extensive suite of customizable compliance consulting and training services for FINRA and SEC regulated Broker-Dealers, on either a one-time or recurring basis depending on your needs.


With a focus on best practices and industry regulations, examples of services include, but are not limited to:

  • Written Supervisory Procedures Review
  • Email Reviews
  • Mock Audits
  • Supervisory Review
  • Mutual Fund Sales Practices Reviews
  • Reviews of Correspondence with Clients
  • Trading Review & Analysis
  • Reviews of Required Books and Records
  • AML Review