Examinations & Testing

NCS Regulatory Compliance provides extensive examination 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 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.