FINOP SERVICES AND FOCUS FILING

Outsourcing your FINOP Services allows you to focus on your core business, and ensures accuracy and compliance in your financial department. Brokerage Consulting Group offers a variety of financial services packages designed to help firms comply with SEC and FINRA financial responsibility rules and requirements. Our packages are flexible and can be tailored to meet your firm's specific needs. We can do as little or as much as you require.

A Brokerage Consulting Group professional can register with your firm as the Financial and Operations Principal and perform all FINOP responsibilities, or assist and review your FINOP's daily and monthly work. We routinely help new firms establish a strong chart of accounts that serves as the backbone for regulatory reporting requirements. Our services range from short-term assistance, such as a temporary FINOP, to long-term relationships in which we work together on an ongoing basis.

Following is a sample of the services Brokerage Consulting Group provides:

• Monthly review of financial statements
• Monthly calculation of net capital
• Monthly and/or quarterly FOCUS filing
• Periodic review of record keeping procedures
• Assistance in communicating with FINRA and SEC examiners
• Assistance in preparing for FINRA examinations
• Annual review of Fidelity Bond requirements

In addition, we provide continuous telephone support and are available to answer questions and solve problems as needed. Contact Brokerage Consulting Group to discuss your firm's current situation and learn more about our FINOP services.