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	Starting a Broker Dealer Changing Ownership Supervisory Procedures Home/Branch Audits FinOp Services Bookkeeping Continuing Education Compliance Training Anti-Money Laundering Compliance Q&A Changing Product Mix Special Investigations State Registrations Expert Testimony Back to Broker Dealer

Compliance Q&A

Having your basic compliance questions answered can be an enormous task. You can literally waste valuable time trying to reach the "right" person who can answer your question. InvestmentCare Consulting Group can provide you with a variety of compliance consulting Q&A options.

We provide quick and precise research and assistance for the following:

Compliance questions and issues that arise during the course of business

Specific compliance questions

Updates on new and amended rules

Monthly, quarterly and annual filing deadlines

Advertising and sales literature

Review and analysis of customer complaints

Review and analysis of regulatory inquiries

Research of rules relating to specific products/services

Utilizing our compliance consulting Q&A program can save you time and help prevent you from making costly mistakes.

Based on the specific needs of your firm, we can provide our compliance consulting services on-site, over the phone, or through our online membership plan. We will tailor our compliance consulting Q&A program to best fit your needs.

For more information regarding our compliance Q&A program, please contact us at 818-386-6900.