Securies Industry Compliance & Advisory Services

As an examiner and supervisor in FINRA’s New York and New Jersey District offices, the principal of SECICAS processed hundreds of applications involving every aspect of the securities industry.  Additionally, SECICAS personnel were involved in many challenging and problematic applications that flowed through FINRA. B/D’s utilizing SECICAS’ services will get a high level of expertise and experience in all aspects of their business and, therefore, their Rule 1017 applications.