Formation, SEC registration and FINRA membership

FINRA Continuing Membership Applications

Clearing Agency Membership

Compliance Manuals and Compliance Manual Updates

SEC and FINRA Inspections

SEC and FINRA Investigations

SEC and FINRA Enforcement Actions

Net Capital Issues

Customer Protection Rule Issues

Margin Financing

Securities Borrowing and Lending, Matched Book Operation

Repurchase Agreements and Matched Books

Prime Brokerage

Federal Reserve Primary Dealer

Arbitrage Trading Programs

Continuing Education Programs

TRACE and OATS Reporting

Principal Trading

Privacy and Customer Data Protection