FINRA Compliance & Anti-Money Laundering Services

Arguably, every legitimate FINRA-registered broker-dealer appreciates the importance of establishing and maintaining a robust compliance program. In fact, FINRA compliance considerations seem to permeate virtually every business decision that broker-dealer management will address.

As an expert witness in the securities industry, a certified (ACAMS) anti-money laundering specialist, a FINRA arbitrator, and a previous six-year member of the bygone FINRA compliance directory, we are particularly committed to ensuring our clients can count on Bedford and Main for competent compliance support. This includes implementing corrections required from a FINRA Acceptance, Waiver, and Consent (AWC) when required.

A word about our AML testing services

We have successfully completed many scores of the Rule 3310 required independent AML exams for dozens of broker-dealers with a wide range of business models. Our clients now range from large independent full-service retail houses to small one-man private placements firms – from traditional US clients only to diverse foreign client bases that span the globe – from online, self-directed firms to DVP/RVP institutional broker-dealers and high-tech firms.

Our reviews are timely, detailed, and thorough. They are designed to add value to your AML Program, not to find “got you” issues. We issue a detailed report that provides meaningful insights, not a simple “check the box” review.