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Compliance for FINRA-Registered Broker-Dealers
AML independent testing, Rule 3120/3130 reviews, WSPs, and fractional CCO/AMLCO for BDs and boutique investment banks.
Where Broker-Dealers compliance breaks down
Annual AML independent test
Rule 3310 testing done on time, with a defensible sample and clean report — including dormant BD tiers.
Rule 3120/3130 reviews
CEO certification and supervisory control testing without pulling reps off the desk.
WSP upkeep
Written Supervisory Procedures that reflect actual business — not a template from 2018.
Reg BI & Form CRS
Documented recommendation reviews, disclosure delivery, and Care Obligation evidence.
How FIN Group helps
FAQ
Do you handle dormant broker-dealers?
Yes — we offer a Dormant BD tier for firms with 0–1 transactions in the last 24 months, priced flat. See /aml-review.
Can you serve as fractional CCO and AMLCO?
Yes. Named CCO and/or AMLCO coverage with quarterly touchpoints, annual reviews, and FINRA exam response support.
What's included in a Rule 3310 AML test?
Program documentation review, risk assessment, transaction sampling, CIP/OFAC/SAR workflow testing, and a signed independent test report.
Talk to a Broker-Dealers specialist
Fractional CCO, filings, and technology — sized to your firm.