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Broker Dealer

Compliance with SEC regulations and FINRA rules places extraordinary time demands on the resources of broker dealer firms. Traditional broker dealers employ entire departments to handle financial operations, compliance and registration, but for specialty broker dealers, maintaining a full–time internal staff can be cost prohibitive.

MarcumBuchanan Broker Dealer Services allows firms to focus on their core business while we handle their financial operations and compliance needs. MarcumBuchanan Associates offers a wide range of outsourced compliance and regulatory services to a variety of broker dealers and investment adviser clients including many firms based outside the U.S. The firm supports all aspects of regulatory compliance including the following: registration; developing and supporting compliance procedures; conducting required training and continuing education and business continuity planning. For firms with a footprint in several countries, MarcumBuchanan can coordinate compliance with multiple global regulatory authorities.

Our firm also serves as the internal financial operations, compliance and registration department for broker dealers. MarcumBuchanan Broker Dealer Services registers one of its professional staff as the client's Financial and Operations Principal. That individual serves as the client's financial operations manager, preparing and filing reports, and working closely with internal staff.

Broad categories of support include assistance with:

  • Financial Operations and Financial Reporting
  • Self Regulatory Organization (SRO) Audit Preparation
  • Written Supervisory Procedures and Compliance Manual
  • Anti–Money Laundering Audit
  • Annual Compliance Meeting
  • Continuing Education
  • Registration Solutions
  • CEO Certifications

In addition, MarcumBuchanan Broker Dealer Services coordinates broker dealer start–ups from the initial SEC registration to preparing an application for membership with FINRA. This service includes assisting non–US–based firms seeking to open a US subsidiary.



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