July 31, 2014
Regulatory experts. Business leaders.
FrontLine Compliance Registration and Filings
Form ADV Parts 1, 2A, and 2B are required by all registered investment advisers. Part 2A of Form ADV serves as the official disclosure document to advisory clients. It is imperative that these documents are filed timely, accurately, and fairly represent your firm's activities. Our staff of regulatory experts can assist you with:
The broker-dealer registration process is complex. Broker-dealer firms must register with the SEC as well as at least one SRO (self-regulatory organization). The application process consists of lengthy forms, document production, net capital requirements, interviews, and strict timelines.
FrontLine Compliance staff has many years experience dealing with broker-dealer regulators and can make the registration process as painless as possible. We assist firms through the registration process by: