Brokerage Consulting Services provides complete NASD and RIA application
services. If you are applying for membership with the NASD or
registering with the SEC as a B/D or RIA we can manage, or
review the process. We can also provide membership agreement
update services in compliance with NASD NTM 99-67 and Rule
1017. We can also assist with your required Business
Continuity Plan, and AML procedures and outside Audit.
If you want to
purchase or sell a B/D click here.
Our
Professionals have worked with Broker-Dealers and attorneys at
all levels of the arbitration and conflict resolution process.
We can help in customer and industry problems. Our experience
extends to all three sides of the arbitration table;
arbitrator, claimant, and respondent.
Branch Audit
Let our Team of
Professionals help you conduct Branch Audits, and much more.
We will perform audits in one branch or fifty, including
compliance meetings, rep interviews, on site training and
etc. Ask us and we will design a program that meets your
needs, from large firm to small, from RIA to B/D.
Do
you want outside help? Is the NASD, NYSE, or SEC due for an
audit? Has your firm updated its procedures manual or
compliance manual? Have you agreed to engage an outside
consultant? Do you need to file form ATS, ADV, or BD? Have
you addressed all required Internet and Email issues? BCS can
address all of the above and provide a professional to provide
a solution.
Let
Brokerage Consulting Services
solve your professional staff
problems. We will provide you with currently registered
personnel on both a short and medium-term basis. We can
provide an interim CEO a contract COO, Compliance Officer,
Financial and Operations Principal (FinOp).
The rules are
effective are you in compliance? Click above to find out if
you must comply with the new SEC reporting requirements.
CFTC and NFA
Services
The CFMA (Commodity
Futures Modernization Act of 2000) How will it effect your
Broker Dealer or Introducing Broker? Are you a currency
trading operation that will be required to register with the
CFTC and join the NFA click our heading above to learn more.
Do you need a
professional available on-call as a resource you or your staff
can call to get a question on an issue answered now? Our
Virtual Principal gives you someone you can turn to when
issues or questions come up that you are unsure how to handle
or just want another professional opinion.
All
ECNs are required to register as an ATS or Exchange, but not
all ATSs are ECNs. If you are operating a trading system that
clients or other broker-dealers have access you may be
required to register as an ATS, if you are not sure call us.
If your firm is
using the Internet or Email please review our Internet related
services.
Reg. S-P is in
effect and all B/Ds and RIAs must provide a notice and have
policies and procedures in place to comply, ensure you are in
compliance before your next audit.
How will
the NASD's new INSITE system effect your business?
Click above to find out how we can help you prepare for this
new level of insight the NASD will have into your business on
a daily basis.
