Examinations & Testing

NCS Regulatory Compliance provides extensive exams and testing options to evaluate your compliance fitness. The following services are available by calling one of our locations or contacting us.

  • SEC/FINRA Compliance Exams: 206(4)-7, 38a-1, 3120, 3130

    NCS Regulatory Compliance offers a detailed, risk-based approach to satisfy your compliance requirements as a broker-dealer or independent adviser. Our compliance testing covers procedures and processes chosen by the firm or identified as key areas through risk analysis. A comprehensive report that includes areas tested, testing methodology, gaps, and recommendation for remediation is provided.

  • Cybersecurity Review

    Our team works with you to assess your cybersecurity protocols and develop a cybersecurity program that fits your business, complies with SEC guidance, and is consistent with industry best practices.

  • Anti-Money Laundering Independent Testing

    We offer detailed Anti-Money Laundering (AML) testing to satisfy the FINRA Rule 3310 requirement for broker-dealers. Our extensive review and reporting confirms the integrity and accuracy of your AML program and its implementation.

  • Office Set-up Visits

    NCS Regulatory Compliance offers an office set-up visit.  Whether for a newly approved firm or a firm who has been in business for decades, this service helps to ensure you have all required files per FINRA and SEC recordkeeping rules.

  • Mock FINRA/SEC Examinations

    Our team of professionals provides a comprehensive, customized examination of your firm’s policies and procedures, compliance systems, processes, and records. NCS Regulatory Compliance tailors the examination to include some or all of the areas a FINRA,SEC, or a state regulator will review.

  • Branch & Non-Branch Office Examinations

    We provide a cost-effective review of your firm’s compliance with required office procedures, including supervision and recordkeeping, through a random review of books and records. Our comprehensive examinations mimic a FINRA onsite review and satisfy requirements under Rule 3110.

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 your registration and compliance needs.

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