NASD Rule 1120 requires each broker/dealer to develop and implement a continuing education program for covered registered persons that is designed to enhance their
Compliance Services
Achieving compliance with regulatory rules and regulations is an issue with which every broker/dealer is forced to cope. Find out how BDCA can help your firm comply with regulatory Broker Dealer compliance requirements by exploring the links below.
The business continuity plan offered by BD Consulting Associates enables you to enhance your business resiliency. Our counseling administrations utilize demonstrated strategies to evaluate
Would you like to eliminate the headache of conducting an annual compliance meeting? At BDCA, we can handle any aspect of your annual compliance
All of our lives changed on September 11, 2001. Things changed on that day not only for the American public, but also for the
A broker/dealer’s written supervisory procedures (WSP) are the nucleus for the firm’s compliance and supervisory systems. The regulators always look to a firm’s WSPs
B/D Consulting Associates, Inc. (BDCA) has a staff of experienced compliance experts who specialize in the regulatory issues encountered by brokerage firms. We have