General Consulting

SRP’s professionals offer a confidential and practical source for compliance questions.

Broker/Dealer Consulting services offered by SRP include, but are not limited to, the following:

1. Daily Compliance Matters

5. Review of advertising and correspondence

2. Research and answers to specific compliance inquiries

6. Review and analysis of customer complaints

3. Updates on new and amended rules, regulations and laws

7. Review and analysis of regulatory inquiries

4. Filing deadlines

8. Book and Records requirements

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