Regulatory Exams and Inquiries

Are you a small broker dealer? Why hire expensive legal counsel to address your FINRA or SEC inquiries or examinations?

COS has the prerequisite experience to assist your firm in understanding regulators’ concerns and the ultimate risk.  COS personnel have successfully managed hundreds of SEC or FINRA examinations, sweeps or regulatory inquiries.

Further, COS can assist your firm in the following:

  • Evaluation of FINRA inquiries or  8210 requests
  • Coordination of related documentation requests
  • Drafting of written response
  • Formal meetings with regulators
  • Independent compliance testing
  • Detailed remediation plans
  • Implementation of remediation plans

Call COS today for a free consultation on your SEC or FINRA exam.