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Internet Issues

Several Issues Are Unique To The Internet:

bullet Email: A very hot NASD and SEC audit item
bullet B/D Web Sites
bullet Broker and RIA Web Sites
bullet Advertising through Your Web Site and Banner Ads
bullet Links Both From Your Site And To Your Site
bullet The Password or Other Restricted Access To Your "IntraNet"
bullet Your Personnel's Use Of Chat Rooms And Bulletin Board
bullet When is a web site advertising and when it is sales literature?

Brokerage Consulting Services can provide broker dealers assistance in handling all Internet related issues. 

We can review your written supervisory procedures manual to ensure you are in compliance with current regulations. 

We have designed Email procedures for several types of firms that comply with SEC and NASD rules. The question today is not if your firm is using email but is the current use of email in compliance with current regulations?

We can also manage the process of implementing a web strategy for your firm. 

Today clients and brokers demand Internet access, let BCS help you provide access and a strategy that is cost effective and complaint.

 

  
Information

Brokerage Consulting Services has experience dealing with Internet related issues, you need to insure that you have procedures in place to insure you meet the NASD Advertising Standards, SEC & NYSE Rules. Let us review your current procedures, web site, and ads and ensure you meet the regulatory requirements. 

 

Questions?

As a service to our customers and prospects Brokerage Consulting Services will provide you with "the short answer" to your securities industry related questions. Just click here and and type in your question.  We will answer by email or phone.  If the question falls outside of our short answer constraints we will also offer other solutions for you to get an answer.

 

 

 

 

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