BROKER / DEALER QUESTIONS As a broker/dealer, why should I consider using InvestmentCare Consulting Group? InvestmentCare Consulting Group recognizes the fact that some broker/dealers can't do all of the required regulatory and compliance work themselves. That's why we provide both general and specific consultative services that Self Regulatory Organizations (SRO) and exchange members don't offer. By providing both Web based and on-site consultative services to the broker/dealer, wherever your location, InvestmentCare Consulting Group goes above and beyond the limited scope of services offered by an SRO or an exchange. InvestmentCare Consulting Group provides the broker/dealer with specialized services such as general securities research and consultative services, NASD/SEC/MSRB rule citation, new member services, Supervisory Procedures, interactive audit reviews and a general Q&A forum for inquiries. We are simply focused on providing our clients with the best possible service through the most efficient means necessary. How do I become a Member As a Broker/Dealer? As a broker/dealer, you have the choice of five different enrollment plans for access to our consulting and research services based on the number of registered representatives and specific broker/dealer needs. The five different categories for broker/dealer membership are Tier 1 for broker/dealers with 1-5 registered representatives; Tier 2 for broker/dealers with 6-10 registered representatives; Tier 3 for broker/dealers with 11-20 registered representatives; and Tier 4 for broker/dealers with 20+ registered representatives. Simply register your broker/dealer according to the number of assigned registered representatives and requested services and you will be quoted an annual fee that meets your specific needs. The costs associated with a broker/dealer annual membership are based on a service-based pricing system contingent upon the research level and complexity of the service. All enrollment plans include access to our compliance newsletter, general assistance on rule citation, regulatory guidelines, operational and compliance assistance, supervisory procedures, and interactive audit reviews. Top Other Help Topics: General Questions Individual Investor Questions Website Questions