SERVICES FOR
BROKER-DEALERS

NASD Registration

Management Advice and Support

Regulatory Examination Assistance

Simulated Examiner Audits

New Business Development Consulting

Operational Advice and Support

Compliance Policy Manuals

Written Supervisory Procedures

Anti Money Laundering

Disaster Recovery Planning

Supervision Protocols for Registered Representatives

Supervision Protocols for Trading

Supervision Protocols for Underwriting

Supervision Protocols for Marketing and Advertising

Supervision Protocols for Back Office

Customer Suitability Issues

Annual Compliance Meeting and Continuing Education

Annual OSJ and Periodic Branch Office Inspections

Form BD and U-4 Maintenance

MSRB Filings
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Whether you are starting a new firm or are
a long-standing broker-dealer looking to
outsource a portion of your compliance
and operations, Best Practices
can provide your firm with
comprehensive services based on vast
industry experience.

If you are building a supervisory system
from the ground up or simply want to test
current compliance and operations
systems, we can tailor our services to your
specific needs.  We offer a full range of BD
registration, regulatory examination and
internal testing services, as well as
anti-money laundering, continuing
education and annual meeting support.

Give us a call!  We can be of service!