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 broker-dealers, registered investment advisers and hedge fund managers 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)
- Supervisory Controls Assessment (FINRA 3120)
- Annual compliance program review (SEC Rule 206(4)-7)
- Regulation Best Interest (Reg BI) and Form CRS compliance
- 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)
- Assist hedge fund managers in complying with SEC registration and obligations
- 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
