Securies Industry Compliance & Advisory Services

Preparing for a SEC, FINRA or other SRO examination can sometimes be stressful.  SECICAS seeks to relieve B/Ds of that stress.  SECICAS will liaise with the SEC or the applicable SRO and prepare the B/D for the examination.  Additionally, SECICAS will monitor the examination and alert the firm to any issue that could be problematic.  If any problematic issue arises, SECICAS will work with the firm to resolve the matter and provide guidance to prevent future rule infractions.