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Compliance Training

As the product mix and methods of execution of securities transactions become increasingly diverse, principals designated with the responsibility of supervising registered personnel are faced with more difficult challenges.

Depending on your specific needs:
  • We can visit your firm to train and work with your principals on the duties and responsibilities associated with a position of compliance.
  • Provide guidance on an "as needed" basis. Our compliance training services include:
  • Advertising
  • Audit Reviews: Internal and Branch
  • Books and Records
  • Continuing Education
  • Customer Complaints
  • FOCUS
  • Licensing and Registration
  • MSRB Rule Compliance
  • Net Capital
  • Reserve Formula
  • Sales Practices
  • Trading and Market Making Compliance
  • Website review and maintenance
  • A properly trained principal may reduce the firm's customer complaints, and reduce costly mistakes, fines and censures. For more information regarding our compliance training program, please contact us at 818-386-6900.

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