Founded in 2014, The Business Ferret, LLC provides specialized consulting services to broker-dealers, investment advisers, and fintech companies. Their primary mission is to help financial firms navigate the complex regulatory landscape of entities like the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC). The company offers a range of services including assistance with new and continuing membership applications, development of compliance and cybersecurity programs, anti-money laundering (AML) independent audits, and support during regulatory examinations.

Founded in

United States