Securies Industry Compliance & Advisory Services

The completion of a SEC, FINRA or other SRO examination can sometimes be the beginning of very serious correspondence and dealings with those bodies.  It is extremely important that the BD provides the most compelling information and responses to SEC, FINRA or other SRO.  Having been involved in many such situations as an employee of FINRA, SECICAS personnel are well positioned to guide BDs through this post-examination period. SECICAS will work with the BD to implement corrective measures, systems and procedures to foster an environment that reduces the likelihood of any future rule infractions.