BROKER DEALERS

INVESTMENT ADVISORS

INSURANCE

LITIGATION & EXPERT WITNESS

BROKER/DEALER

Mainstay's Areas of Expertise Include:

  • Assistance with Regulatory Examinations
  • Advertising & Website Review
  • AML Procedures
  • AML Audit
  • Annual Compliance Meetings
  • Books and Records
  • Broker/Dealer Formation
  • Clearing Agreements
  • Compliance Audits
  • Compliance Procedures/Manuals
  • Continuing Education
  • CRD/IARD Administrator
  • Customer Compliant Review & Form Filing
  • Employee Development
  • Execution Agreements
  • Financial Operations/FINOP Services
  • Financial Reporting
  • Focus Reports
  • Form B/D Amendments
  • Front and Back Office Processing
  • Litigation Support/Expert Witness Services
  • Mock Regulatory Examinations
  • NASD Branch Office Inspections
  • NASD Entitlements
  • NASD Continuing Membership Applications
  • Operational Systems and Procedures
  • Outsourcing
  • Recruitment/ Executive Search
  • Regulatory Mandated Independent Consulting
  • Regulatory Inquiries
  • Renewals
  • Sales Practices
  • SEC, NASD and State Registrations
  • State Regulatory Filings
  • Supervisory Procedures/Manuals
  • Training
  • U4 and U5 Amendments
  • Work Flow and Systems Analysis

The Mainstay Group, Inc. can assist with the formation of new Brokers/Dealers. For more informantion about formation of new Brokers/Dealers, click here.
 

 

The Mainstay Group, Inc. is a consulting firm. We are not attorneys and therefore we do not offer legal services. All information contained in this website has been derived from sources that we deem to be reliable but cannot be guaranteed. ©2006 The Mainstay Group, Inc.
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