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Quadrant Regulatory Group offers a comprehensive range of compliance solutions for broker-dealers in New York, including FINRA registration services. Our focus is on advising clients on federal securities laws, state securities laws, FINRA rules, and SEC regulations.

Our compliance solutions cover a wide range of services, including assisting with registration and ongoing compliance requirements, conducting compliance reviews and assessments, providing guidance on regulatory changes and updates, and offering training and education on compliance matters.

Quadrant Regulatory Group’s expertise in broker-dealer regulation allows us to assist clients in navigating the complex regulatory landscape and ensuring they remain in compliance with all applicable laws and regulations. Our team of experienced professionals provides tailored solutions to meet the specific needs of each client, helping them to effectively manage compliance risks and stay ahead of regulatory developments.

Whether it’s addressing regulatory filings, compliance examinations, or enforcement actions, Quadrant Regulatory Group is dedicated to helping broker-dealers successfully navigate the challenges of regulatory compliance in the securities industry.

Protect Your Firm With Broker-Dealer Compliance Services

Quadrant Regulatory Group offers comprehensive broker-dealer compliance services in New York, ensuring that broker-dealers and investment advisers are equipped with the necessary compliance and financial solutions. By utilizing our services, firms can benefit from reduced costs associated with non-compliance and legal issues, ultimately protecting their business and reputation.

With Quadrant Regulatory Group’s expertise, NY firms can navigate the complex and ever-changing regulatory landscape, staying ahead of industry trends and potential risks. Our team of experts works closely with clients to tailor solutions that fit their specific needs, providing peace of mind and allowing firms to focus on their core operations. Whether it’s developing compliance programs, preparing for regulatory examinations, or addressing potential compliance deficiencies, Quadrant Regulatory Group equips firms with the tools and support they need to safeguard their business.

Areas of Focus

Quadrant Regulatory Group specializes in providing comprehensive support in financial services regulation and compliance. Our areas of focus include FINOP, PFO, and POO services, accounting support, compliance program development, risk assessments and testing, policy and procedure development, regulatory exam preparation, and ongoing compliance monitoring.

Our team of experts in our NY office has extensive experience in advising and supporting firms at all stages of the business lifecycle for their regulatory and compliance needs. Whether it’s assisting with the establishment of a new compliance program, conducting risk assessments and testing, or preparing for regulatory exams, our team is well-equipped to provide tailored solutions to meet the specific needs of each firm.

We place a strong emphasis on staying up-to-date with the latest regulatory changes and requirements, ensuring that our clients are always compliant with the evolving industry standards. Our expertise in FINOP, PFO, and POO services, accounting support, and ongoing compliance monitoring allows our clients to navigate the complex regulatory landscape with confidence and ease.

At Quadrant Regulatory Group, our goal is to provide reliable and effective support to help firms in New York achieve and maintain regulatory compliance, allowing them to focus on their core business operations. Contact us today to request information or schedule a consultation.

How Can We Help?

Get in touch with us to learn how our team of experienced compliance & accounting professionals, and former SEC and FINRA regulators, can ensure you reach your goals.

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