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​​Customized Compliance Solutions

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​• Investment Advisory Firm Formation and Registration
​• Mock Audits
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• Form ADV Part 1, Form ADV Part 2 and U-4 Form Updates
• Ongoing Compliance Support

• SEC Examination and State Audit Representation
• Breakaway Broker Strategies 
• FINRA Arbitrations

• Investor Fraud Cases
 
• SEC & State Based Compliance Manuals
• Corporate, Employment and Contact Law Expertise
• FINRA and CRD Account Administration
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