GENERAL COMPLIANCE

Finding the time to read and analyze all the information your firm receives from regulatory agencies can be challenging. Proper implementation, however, is crucial to the firm's success. Brokerage Consulting Group can serve as your broker/dealer compliance partner, helping you determine how, or if, rules and regulations affect your firm. We interpret regulatory releases and apply the information to your firm, allowing you more time to concentrate on other areas of the business.

Our consultants will explain what action your firm should take to be in compliance with new rules and regulations as they are released. In addition, we will notify you of proposed amendments to current rules and help you prepare for upcoming changes. And we are available to answer questions and help solve compliance-related problems as they arise. In short, we become your compliance sounding board.

• Are you certain that your firm is adhering to the amended Books and Records requirements?
• Do you know how the changes to the Forms U4 and U5 affect the firm's associated persons records?
• Do the rule changes relating to research analyst conflicts of interest apply to your firm?

For answers to these and other compliance questions, contact Brokerage Consulting Group at (404) 371-4250.