FINRA and SEC Audit Support

In serving numerous clients, ACI has established relationships with FINRA, SEC, and State Regulators throughout the country with particularly strong relationships in our home office region (New York - District 10). ACI's clients benefit from the favorable relationships ACI has developed with regulators and the guidance ACI can provide on how to develop, maintain, and present a compliance program for regulatory review. ACI provides FINRA Audit support to our clients, and can serve as the client advocate or inquirer with regulators. ACI provides FINRA Audit/Exam Preparation for our clients, Onsite support during FINRA Audits/Exams, Post Exam Response Support, and assistance with developing and positioning regulatory response letters.

For more information on ACI's broker dealer compliance services contact info@acisecure.com