Broker Dealer

BPM is a leading provider of regulatory and compliance solutions to Bay Area based broker dealers.

We offer a suite of regulatory and compliance services, ranging from advising and guiding new broker dealers through the application process with FINRA, to the creation of a robust compliance supervisory system, to assisting your firm with its ongoing compliance needs.

Our goal is to provide broker dealer executives with solutions to their ever increasing regulatory demands, and help them avoid many of the common pitfalls that many broker dealers fall into, which sap valuable time and resources, and sometimes result in costly and damaging enforcement proceedings.

We will ensure you are kept current on the issues facing the industry, through regular compliance updates from our staff of compliance professionals. At BPM, we believe one of the best ways to stay on top of the industry is to maintain strong relationships with local and federal regulators, including FINRA, SEC and State Securities administrators. Our compliance professionals also attend many of the compliance conferences sponsored by FINRA and other industry players. BPM also sponsors an annual seminar for its clients, featuring leading voices of regulators and industry veterans, and discussing those topics that are most important to our clients.

Some of the services we provide are as follows:

  • New Member Applications
  • Continuing Membership Applications (change of ownership or control, expanding existing business lines, etc.)
  • Development of a Supervisory System
  • Written Supervisory Procedures
  • Training Programs (Continuing Education, Annual Compliance Meetings)
  • Branch Inspection Programs
  • Supervisory Controls Testing
  • Risk Management Strategy
  • Anti-money Laundering Testing
  • Financial and Operations Principal, FINOP
  • Registration filings through CRD System