Services

Our team includes former FINRA regulators who expertly navigate and resolve complex compliance issues, such as:

Written Supervisory Procedures (WSP) Keeping WSPs current with evolving regulations is challenging. JRS provides and updates your WSPs, allowing you to focus on your business. We also offer FINRA Series 24 registered consultants to serve as your Chief Compliance Officer (CCO) or support your CCO.

Anti-Money Laundering (AML) Regulators prioritize Anti-Money Laundering compliance. JRS ensures your AML compliance needs are met by providing qualified AML Officers and comprehensive services, including policy drafting, independent testing, ongoing education, and program development.

WEB CRD Registrations JRS manages all WEB CRD requirements, from new rep registrations to updating U-4s and BD forms. With over 50 years of experience, our professionals manage state registrations, annual renewals, and continuing education notifications.

New Membership Applications Considering starting your own Broker-Dealer? JRS guides you through the application process and provides necessary principals (S24, S27, CCO, CFO). We also customize your Written Supervisory Procedures and assist with Continuing Membership Applications (1017).

Request for Additional Information (8210 Requests) Responding promptly and accurately to 8210 requests is crucial. JRS's experienced professionals manage these requests efficiently and cost-effectively, handling communications with regulators and ensuring thorough responses.