Broker Dealer Consulting Services Overview
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SCA provides a broad range of compliance and regulatory services to the Broker Dealer community. Our clients have found that outsourcing certain aspects of the compliance function is a cost effective strategy that provides access to qualified experts when needed.

SCA consultants are constantly talking to regulators and reviewing new rules and guidelines in order to stay current on exam priorities, focus areas and new initiatives of the SEC, NASD and state regulatory bodies.

Whether you are starting a new firm or you have an existing firm needing a mock regulatory exam, assistance with branch audits, new supervisory procedures, a continuing membership application or assistance with focus reports, state licensing or CRD registrations, you can be confident the consultant assigned to you will be up-to-date on the relevant issues related to Broker Dealer compliance.

SCA’s broker dealer clients cover a broad range of activities including general securities, investment company products, public finance, institutional equity, mergers & acquisitions, private placements, international securities, research, and investment banking.