Broker-dealers

  • FINRA, SEC and State Registrations

    NCS Regulatory Compliance assists you in submitting a FINRA membership application as well as SEC and state registrations. We offer in-depth assistance to navigate complex regulatory issues, helping you avoid common mistakes that could delay the regulatory review and approval process.

  • Outsourced CCO

    NCS Regulatory Compliance provides outsourced CCO relationships to clients that are good candidates for the program. Through analysis and assessment, discussions and review of goals, we work to determine if an outsourced CCO is the right fit for you.

    Go to Outsourced CCO Services

  • Ongoing Compliance

    Our team of experienced professionals provides ongoing compliance services including technology-driven support to assist you in maintaining a robust compliance infrastructure. Our fully-customized programs support a variety of business models, practices, and budgets.

    Go to Ongoing Compliance

  • Cybersecurity Compliance Program

    NCS Regulatory Compliance works with you to develop a cybersecurity program that fits your business, complies with SEC guidance and is consistent with industry best practices.

    Go to Cybersecurity Assessments and Ongoing Management Services

  • Customized Compliance Calendars

    NCS Regulatory Compliance customizes your compliance calendar to facilitate the planning and implementation of your annual and ongoing compliance obligations. Our technology solutions also provide reminders of upcoming filing deadlines and compliance tasks, so you remain in compliance.

  • Written Supervisory Procedures

    We help establish written supervisory procedures designed to meet the needs of your firm, regardless of your size and service offering, in order to address regulatory changes, identify risks, and manage changes in business operations.

  • On-boarding/Termination of Broker-dealer Registered Representatives

    We provide a wide range of on-boarding solutions, including pre-hire CRD searches, preparation and submission of state and FINRA registration filings, and exam waiver requests. We also prepare and submit individual termination filings.

  • Onsite/Offsite Compliance Meetings

    NCS Regulatory Compliance offers a variety of customized compliance meeting solutions that align with your business model and compliance risk. Our team of qualified experts will organize, lead, and manage the follow-up for onsite/offsite meetings as needed.

  • FINOP and Financial Services

    NCS Regulatory Compliance has FINOP and FOCUS specialists who can register with your firm to prepare or provide guidance and assistance with net capital computations, all FOCUS reporting requirements, and other financial responsibility rules, including:

    • FINRA Rule 15c3-1, net capital rules
    • FINRA Rule 17a-3 and 17a-4, books and records rules including financial accounting and reporting systems
    • FINRA Rule 17a-11, financial notification rules
    • FINRA Rule 17a-5, assistance or preparation of year-end full disclosure financial statements for outside auditors

    Go to FINOP Support & Regulatory Accounting

  • Audits: Branch & OSJ, Seminars, Accounting

    Our team designs and implements a variety of audits that assist in the oversight, surveillance, and risk assessment of your firm. As a critical component of a comprehensive risk management program, NCS Regulatory Compliance’s audits make for a well-fortified compliance strategy.

  • Business Continuity Plans

    NCS Regulatory Compliance helps your firm meet its requirements under FINRA Rule 4370 to create and maintain a complaint business continuity plan that addresses your building facilities, data storage, vendor relationships, personnel needs, and more.

  • AML Independent Testing

    We review and evaluate your money laundering risk, helping you amend or create new procedures based on the results of our assessment. Our experienced staff conducts your independent tests as required under FINRA Rule 3310.

  • CRD FilingPro Services

    We provide efficient and accurate regulatory filings through Web CRD and other electronic systems. Our experience and relationships with regulators keep us up-to-date regarding entitlements, system updates, fee changes, and much more.

  • Continuing Education Courses and Series Exam Prep

    Our team offers a wide range of continuing education courses, with more than 100 titles that satisfy specific compliance requirements (per FINRA Firm Element rules) and earn you credits in insurance, securities licensing, and more. Textbooks, software, and exam prep videos are also available for purchase. Our course list includes, but is not limited to:

    • Anti-Money Laundering Fundamentals
    • Basics of Bonds
    • Branch Office Management
    • Ethics for the Securities Professional
    • General Supervision for Small Brokerage Offices
    • Mutual Fund Suitability
    • Private Placements
    • Public Communications
    • Regulations of Electronic Communications
    • Section 529 Plans
    • Soft Dollars, Direct Brokerage and Personal Trading
    • Suitability for Annuities
    • Suitability for the Institutional Market
    • Variable Contracts

  • Compliance Manuals

    We offer compliance manuals including anti-money laundering programs, continuing education training plans, written supervisory procedures, identity theft protection, business continuity, cyber and more.  We also offer services to test your procedures.

    Go to Broker-dealer Manuals

  • Monthly Newsletter

    NCS Regulatory Compliance will educate and help keep you abreast of relevant regulatory changes with our monthly newsletter.

Free Consultations

Regulatory compliance is complex. Whether your firm is new to managing compliance requirements or you already have a strategy in place, NCS Regulatory Compliance can add value to your regulatory compliance plan. Let us prove it – request a free consultation, and we’ll show you how we can support to improve your registration and compliance needs. Ready to jump in? Begin your registration here.

Not the online form type?
Feel free to call (800) 800-3204 or email us at info@ncsregcomp.com.