Broker Dealer compliance

Founded in 1993, Broker-Dealer Compliance Associates, Inc. is a full-service compliance consulting firm dedicated to assisting broker-dealers and investment advisers with their regulatory obligations. The company offers a wide range of services, including new firm registrations with the SEC and FINRA, development of customized compliance programs, anti-money laundering (AML) independent testing, and ongoing compliance support. Their mission is to provide expert, reliable, and tailored solutions to help financial firms navigate the complex and evolving regulatory landscape.