FINRA & SEC Compliance

Kaufman Rossin’s dedicated financial services team includes former Financial Industry Regulatory Authority (FINRA) regulators who have supervised FINRA’s national anti-money laundering examination team, led a broker-dealer’s anti-money-laundering (AML) department and trained financial services professionals on numerous regulatory issues.

We can help you navigate FINRA and Security and Exchange Commission (SEC) examinations and stay in compliance with these regulators.

Our services include:

  • Annual risk-based anti-money laundering program review/assessment (FINRA Rule 3310)
  • Annual certification of compliance program (FINRA Rule 3130)
  • Assist with responses to FINRA, state and SEC examination requests
  • Offsite and onsite assistance with FINRA regulatory inquiries
  • Assist an applicant with its New Membership Application (NMA) to become a FINRA member
  • Assist the firm with the completion and submission of a Continuing Membership Application (CMA)
  • Compliance training and education
  • Litigation consulting
  • On-the-record testimony preparation
  • Mock regulatory exams
  • Conduct branch examinations
  • Assist with ongoing updates of the firm’s written supervisory procedures manual
  • Independent investigations into potential sales practice violations

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Questions? Let us know how we can help you or your business.