BROKER-DEALER COMPLIANCE SERVICES

ARG is staffed with a team of dedicated and hard-working regulatory compliance and risk management professionals that specialize in establishing, maintaining and enforcing highly effective broker-dealer compliance programs.

Our dedicated compliance and risk management professionals deliver proactive, customized support services to your firm. Our compliance and risk management support services provide various levels of ongoing, continuous support based on your individual needs and allows for flexibility to navigate between programs at any time.

CHIEF COMPLIANCE OFFICER SERVICES »
BRANCH OFFICE INSPECTIONS
15a-6 COMPLIANCE SERVICES »
POLICIES AND PROCEDURES »
CONTINUING EDUCATION PROGRAMS
REGISTRATION AND LICENSING
FORM CRS PREPARATION
FINRA REGULATORY FILINGS
DISCLOSURES AND CERTIFICATIONS
OUTSIDE BUSINESS ACTIVITY TRACKING AND REPORTING
PERSONAL TRADING REVIEWS
ASSISTANCE WITH REGULATORS
RESEARCH REPORTS AND DISCLAIMER REVIEWS
ADVISE AND SUPPORT
RULE ANALYSIS