Broker – Dealers

RegTec provides regulatory compliance services to both FINRA and non-FINRA broker-dealers. Please see our description below for further information.

  • Registration Services including new member registration support and CRD administration for current FINRA members
  • Specialized compliance reviews including Supervisory Control Assessments, Anti-Money Laundering Independent Testing Reviews, OATS (Order Audit Trail System) Reviews and assistance with meeting 3130 reporting requirements and gap analysis
  • Development and maintenance of written supervisory procedures
  • Books and records support including assistance with document and attestation maintenance
  • Training including Firm element training, compliance and product specific training
  • Review of employee trading and electronic communications
  • Conduct Compliance meetings, including annual compliance meeting and regular and periodic meeting with client firms (weekly, monthly, quarterly)
  • Examination support including responding to requests for information, on-site support and response to deficiency letters and enforcement matters

FOR Exchange BDs not only will we fulfill any requirements that you may have in connection with the above but also tailor your program to the specific regulations of the exchange where you operate. We will:

  • Perform market maker reviews of quoting obligations, appointment etc.
  • Assist floor brokers with electronic order capture requirements, trade through issues, crossing/facilitation compliance and all other on floor vs. electronic order representation
  • Respond to regulatory requests for information or represent your firm in connection with enforcement actions

stock broker in Chicago IL