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BD Financial – Helping you navigate the complexities of FINRA complianceHelping you navigate the complexities of FINRA compliance
http://www.bdfsg.com/
Helping you navigate the complexities of FINRA compliance
http://www.bdfsg.com/
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BD Financial – Helping you navigate the complexities of FINRA compliance | bdfsg.com Reviews
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Helping you navigate the complexities of FINRA compliance
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About Us
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Audit
http://bdfsg.com/audit
Email the Annual Reports to SIPCAuditReports@sipc.org. And in the subject line, please include the SEC 8- number, the name of the member, and the fiscal year end for the Annual Reports. The principals of BD Financial Services Group are prepared to discuss your audit needs, and, when requested, to assist its clients and client’s auditors to facilitate the compilation and/or completion of the report. Rule 17a-5. Reports to be made by certain broker and dealers. Annual Audit Filing Due Dates.
Regulatory Compliance
http://bdfsg.com/regulatory-compliance-2
Internal Audit/Pre Regulatory Exams, Registration, Form BD, and State filings, S-P Privacy Policy, Business Continuity Planning, OSJ and branch office compliance reviews, continuing education needs analysis development, submission assistance with advertising and sales literature, electronic correspondence retention compliance, CRD maintenance, fidelity bond review, and financial audit preparation. 3110(a)(1). Written Supervisory Procedures. Anti-Money Laundering Compliance Program. Rule 8210 requires FIN...
Financial Principals
http://bdfsg.com/financial-principals
BD Financial Services Group has relationships with qualified Financial and Operations Principals interested in registering and providing services to firms on a contract basis. Rates vary depending on services provided, however, affiliated FINOP’s will register with your firm, prepare monthly net capital computations, file FOCUS reports, and send a monthly file complete with supporting documents.
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BD Financial – Helping you navigate the complexities of FINRA compliance
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