Broker / Dealers

SEC3 offers an extensive suite of customizable compliance consulting and training services for FINRA and SEC regulated Broker-Dealers, on either a one-time or recurring basis depending on your needs. With a focus on best practices and industry regulations, examples of services include, but are not limited to:

Written Supervisory Procedures Review
Email Reviews
Mock Audits
Supervisory Review
Mutual Fund Sales Practices Reviews
Reviews of Correspondence with Clients
Trading Review & Analysis
Reviews of Required Books and Records
AML Review

Company News

SEC3 Publishes Guide to SEC Registration of Private Fund Investment Advisers Today, July 21st, 2010, the President signed into law the Dodd-Frank Wall Street Reform and Consumer...

SEC3 Offers Private Fund Registration and Compliance Services Our SEC knowledge and private fund experience is what differentiates us from our competitors. ...

CCO Communique

Upcoming Calendar

IA Compliance Fall Conference 2010 (09/20)
NYC Compliance Roundtable (09/29)
5th Annual Meeting of the Hedge Fund Operations Association (10/25)
Hedge Fund Registration Master Class (10/27)

Broker / Dealers

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Company News

CCO Communique

Upcoming Calendar