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