Why...

...settle for

canned compliance

when you can have a 

Compliance Partner

on your Team?

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  • FINRA Financial Principal Services
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  • Bookkeeping Services
  • Net Capital Computations
  • Affiliate Expense Sharing Agreements
  • FINRA Entitlement Program Enrollment
  • Form BD, BR, U-4, and U-5 Filings
  • Web-Based CRD and FOCUS Report Filings
  • Web-Based Contact Questionnaire Completion and Quarterly Updates
  • FINRA Advertising Online Filings
  • Web-Based FINRA Rule 3070 Complaint Filing
  • Web-Based Online 17a-11 Financial Notifications
  • MSRB Rule G-37 / G-38 Quarterly Filing

 
 

BD Compliance Partners, Inc. is your trusted broker / dealer compliance consultant.

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