BROKER-DEALER REGISTRATION AND COMPLIANCE SERVICES

Our team of professionals has over twenty years of experience and expertise in Broker-Dealer registration and compliance. We assist clients with the preparation and filing of documents required by FINRA, SEC, NFA, CFTC, regional exchanges and state regulatory agencies.

Our staff is also well equipped to assist with the following:

• Registrations and licensing
• New member applications
• CEO certification preparation
• Investment advisor registration
• CRD amendments
• Continuing Education
• Training
• Mock regulatory examination reviews
• AML audit reviews and independent testing
• Books and Records
• Written supervisory procedures
• Branch inspections
• Annual compliance meetings

For more information about our services please contact:

IMS Broker-Dealer Services
Howard Spindel
Phone: 212-897-1688
Email: hspindel@intman.com