Ongoing Broker / Dealer Services
Reconfirm the price with seller
Services of other enterprises
Description
BDC does not stop once the firm gains FINRA membership. We are there to continue to assist the firm in all aspects of its business. Some of our services include:
- Registration & Licensing Broker/Dealers and Individuals
- Rule 1017 filings- Firms change of ownership, add product line etc.
- Accounting, Net Capital & Focus filing
- Net Capital requirements
- Continuing Education Needs Analysis and Training Plans and Courses
- Annual Reviews
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- Anti-Money Laundering
- Rule 3012/3013
- Branch Office exams
- Annual Compliance Meetings
- Written Supervisory Procedures
- Answering day to day questions
- Interface with regulators
Contact the seller
Ongoing Broker / Dealer Services