Services

Broker-Dealers

• Reg BI and Form CRS
• Supervisory Calendars, Checklists, Procedures
• Risk Assessments/ Mock Audits
• Anti-Money Laundering Audits
• Web CRD Filings
• FINRA 3110 Reviews
• BCP Plans

Investment advisors

• Form ADV/ Brochure/ Code of Ethics
• Supervisory Calendars, Checklists, Procedures
• SEC Rule 206(4)7 Testing
• IARD Maintenance
• Risk Assessments

custom services

• Regulatory priorities change, internal resources fluctuate, surprise sweeps occur, and daily disruptions erupt. BRM supports broker dealers and investment advisory firms on a contract basis.
• Arbitration expert witness services