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Independent AML Review
Annual Review
New and Continuing Membership Applications
Exam Preparation and Guidance
WSPs and Internal Controls
Branch Office and OSJ Reviews
Regulatory Mandated Consulting
Continuing Education
Other Regulatory Matters
Crisis Management
Investment Advisor Services
Hedge Fund Registation
New and Continuing Membership Applications

Are you thinking of expanding your business?  Creating a new broker/dealer? 

MCD Consulting can walk you through the FINRA membership process.  MCD will help you prepare a business plan and membership application so that your firm can have answers for FINRA when they ask about:

  • Written Supervisory Procedures
  • Financial Books and Records
  • Business Continuity Planning
  • Anti-Money Laundering Plan
  • Continuing Education
  • Compliance and Exception Reports
  • Internal Controls
  • Clearing Agreements
  • Net Capital Requirements
Contact MCD to learn more about our FINRA Membership services.

MCD Consulting
Sensible Solutions.  Exceptional Service.

email:  info@mcd-consulting.com
phone:  815.295.3994

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