Services

Broker/Dealers

Can be overwhelmed with regulatory burdens from their DEA. RegTec puts the pieces in place for B/Ds. Having a partner during stressful times can ease the burden and be cost effective. Increasing regulatory scrutiny requires a team which can constantly monitor the ever changing regulatory landscape. The flexibility we provide your firm is allocating resources when you most need it limiting the expense of full time compliance personnel. RegTec will be your experienced partner to the extent you require assistance.

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Proprietary Trading Groups and TPH Holders:

Require specialized treatment for equity and option haircuts as well as margin including portfolio margin. Our many years of experience in trading gives your firm the specialized knowledge needed to satisfy the complex world of cross hedging, margin haircut and net capital.

Exchange Members /JBO:

The rules surrounding Exchange members using a JBO or not can be complicated. As a trader you want optimal margin treatment with the least regulatory burden. Additionally, we can guide you through market access and the regulatory requirements for your firm.

Futures Firms:

We can handle your firm’s regulatory filings, assist with examinations, and handle all financial and legal compliance required by the NFA and CFTC.

Legal Services:

Regardless if you are a trader, broker/dealer or Exchange TPH holder, the markets present a minefield of legal issues and possible problems. When serious issues arise knowing you can get counsel from a firm that has an accomplished securities lawyer who can be the partner you need to keep your business running and profitable. We can handle all your legal issues. Having RegTec on retainer can give you piece of mind at a reasonable price.

General Services:

Email and IM review -working with your provider we can do the reviews required by FINRA and the Exchanges.

  • Trade email and IM reviews relieving your firm of the burden of daily compliance.
  • Trade reviews- monitor manipulative practices and keep your firm compliant and ready for regulators.
  • Revise your firm’s WSPs when necessary.
  • Market Access SEC Rule 15c3-5 – assure your firm’s compliance
  • For all size firms, big or small, we can help start, run and protect your broker/dealer
  • Initial registration, outgoing support, outsourcing and more. RegTec supports your unique firm and the way YOU serve your clients.
  • Our staff can help you manage regulatory risk, improve controls and protect your firm.
  • Review, develop and enhance your training program
  • RegTec aligns technology with the regulatory landscape in order to keep you up to date with the latest regulations making sure your technology is compliant.

Specifically, we can do FINRA applications for new membership aid in your business plan and position you for your first 6 months of operation. Our staff will be there every step of the way for your NMA to make sure no mistakes are made. Our staff will aid you as much or as little as you want or need as you start your B/D.

RegTec can serve as your WEB CRD administrator to monitor your entire firm’s needs; initial registration, U-4, U-5 continuing education, assist with Blue Sky and fingerprinting.

RegTec can develop the relevant content for your annual compliance meeting and help your CCO deliver and document the meeting onsite.  Relevant content includes a detailed agenda for the meeting, required disclosures to be completed by each attendee and time sensitive handouts to be discussed at the meeting.

Additional Services:

  • Packaged Services
  • Investment Advisors
  • Outside brokerage review
  • Joint back office
  • Net capital
  • Offers of settlement
  • Aggregation units
  • BCC personal appearances
  • MM groups
  • B-1 exempt firms
  • CBOE Rule 4.24
  • CCO certifications
  • FINRA new member applications

legal services in Chicago