FINRA Compliance Services

FINRA Rule 1210 requires each broker-dealer to employ and designate a qualified Financial and Operations Principal (“FINOP”), Series 27. The FINOP is delegated with the responsibility for final approval and responsibility for the accuracy of financial reports submitted to any duly established securities industry regulatory body. In addition, the FINOP is also responsible for the supervision of individuals who assist in the preparation of financial reports and ensuring compliance with SEC Net Capital rules and regulations.

The financial industry regulators permit an outside individual to associate with a Broker – Dealer for the purpose of fulfilling the FINOP role. Asgard has an experienced staff and a network of Series 27 professionals who provide FINRA compliance services and can serve as the FINOP on behalf of your firm, or assist your FINOP with financial record-keeping and regulatory matters.

FOCUS

SSOI

Form Custody

Form OBS

Form SIS

SIPC-6/7

Net Capital Computation

Financial Statement Preparation

Schedule I