FrontLine Compliance provides high quality securities compliance for broker-dealers and investment advisers.

FrontLine Compliance Registration and Filings

Investment Advisers

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:

SEC and State Notice Filings
Annual filing updates
CFTC/NFA Registration
Form PF Filings

Broker-Dealers

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:

Preparing and filing SEC Form BD
Preparing and filing FINRA Form NMA
Preparing and filing any other SRO forms
State filings
Creating your Written Supervisory Procedures (WSP)
Reviewing and editing your Business Plan
Developing and implementing a customized Compliance Program
Annual filing updates