iComply Consulting is a regulatory compliance consulting firm that specializes in customized regulatory solutions for Broker-Dealer Member Firms and Registered Investment Advisers (RIA) for compliance with the rules and regulations associated with the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Municipal Securities Rule Making Board (MSRB), National Futures Association (NFA) and Self-Regulatory Organizations (SRO) as well as state securities laws.

Our team has regulation experience, so we know what regulators look for. We use our experience in compliance and regulation to assess your controls and oversight to recommend concise remediation tactics.

We understand that regulatory compliance is not one size fits all and must be independently tailored for each member firm or adviser. iComply delivers effective results that matter for Broker-Dealers and RIAs.

You want iComply on your side.