Broker Dealer Solutions

A Comprehensive Program

Audit Program ReviewB/D Solutions will enhance your current audit program or produce a new audit program that will help ensure no potential compliance problems occur at your broker/dealer. Our staff includes former NASD/FINRA employees who have years of experience in crafting audit manuals and procedures at the Home Office, OSJ, and branch office level.

A comprehensive audit program is essential to detect compliance problems at every level of your broker/dealer. We will build your audit program to suit the type of business you conduct and the current compliance trends in the securities industry.

B/D Solutions Consulting • 4060 Peachtree Road,
Suite D #322 • Atlanta, GA 30319 • 877-423-4636 • Copyright © 2004
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