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