Navigating the complex web of SEC, FINRA, and SIPC requirements can overwhelm even the most seasoned broker-dealers—but it doesn’t have to. Whether you’re launching a new firm or managing annual filings, this guide offers a clear, actionable roadmap backed by Keiter’s expert insights. Streamline your compliance, safeguard your reputation, and add strategic value at every stage.
Step-by-step clarity on SEC, FINRA, and SIPC registration and filing requirements
Detailed instructions for completing and submitting forms like Form BD, SIPC-7, and FOCUS Reports
Audit deliverables explained, including public and confidential audit opinions and exemption reports
Key deadlines and document checklists to ensure timely and compliant submissions
Expert guidance from Keiter professionals on exemptions, audits, and agreed-upon procedures (AUPs)
Support for both new and established broker-dealers—we help you navigate complexity with confidence