Broker Dealer Consulting Overview

SCA provides a broad range of compliance and regulatory services to the broker dealer community. Our clients have found that outsourcing certain aspects of their compliance functions 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 SEC, FINRA and state regulator exam priorities, focus areas and new initiatives.

Whether you are in the process of starting a new firm or you require services for your existing firm, such as a mock regulatory exam, assistance with branch audits, new supervisory procedures, a continuing membership application or assistance with FOCUS reports, state licensing or Central Registration Depository (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 and mergers and acquisitions.