Policies and Procedures for Broker Dealers

Published by leading compliance experts and legal contributors, Policies and Procedures for Broker-Dealers is the most comprehensive solution for assembling and updating the regulatory driven compliance manuals. With an integrated and customizable technology, Policies and Procedures for Broker-Dealers will transform the way broker-dealers - both large and small - comply with the written procedure rules.

Policies and Procedures for Broker-Dealers is the only solution that combines practical and industry proven know how with the flexibility to integrate your existing materials into one centralized solution

Complete Regulatory Coverage

Policies and Procedures for Broker-Dealers provides expert guidance in creating and maintaining a policies and procedures program that covers subjects under FINRA, NYSE, MSRB and SEC regulatory rules such as: AML, Supervisory Controls, Insider Trading, Business Continuity Plans, Best Execution, Regulation SHO, Instant Messaging and Emails, Mutual Fund Sales Practices, Conflicts of Interest, Insurance Products Sales Practices, and Employee Registration and Licensing among others.

Comprehensive Chapters

Our experts compiled 33 comprehensive chapters covering a wide variety of compliance issues you confront in your day-to-day operations, including:

  • Communication with the Public
  • Mutual Funds
  • Supervisory System, Procedures and Controls
  • Financial Operations and Procedures
  • OTC Equity Trading and Market Making


User Friendly, Web-Based Solution

Web-based editing in a Word-friendly environment gives you the ability to make changes and customize your content. It also enables multiple authorized editors to work on different sections of the same manual – directly on the web. Approve edits, publish a new version and securely distribute your manual to your entire organization online – easily and effortlessly.

Complete Customization

Our powerful Policies and Procedures Wizard guides you through the manual assembly process. Each question is designed to gather information about your firm in order to provide customized content for your manual. Policies and Procedures for Broker Dealers allows you to seamlessly integrate your existing content as needed. Once created, the Policies and Procedures online editing platform allows you to easily apply firm-specific information to your compliance manual.

Analytical Updates

Updates are published regularly, eliminating the need to monitor and interpret all the regulatory changes that affect Broker Dealers. Our service provides your firm with the practical guidance you need to confidently manage your policies and procedures.

Archiving and Disaster Recovery

Previous versions of your manual are indexed and archived according to date for easy reference. The manuals are securely hosted, ensuring that your most important work is safeguarded and available at any time.

Newsletter and Calendar

Our bi-monthly newsletter provides in-depth explanation and insight on hot topics and recent regulatory changes. The Compliance Calendar allows you to monitor and organize all key regulatory and filing deadlines in one place.

Proven Compliance Expertise

Applying the knowledge from their years in the securities industry and working with a team of legal contributors from some of the most prominent securities practices in the nation, our experts deliver succinct and easy-to-read compliance procedures that address the complexities of securities regulation.

Our team draws from their years of experience in the securities industry, including compliance, sales and branch management, working with our team of legal contributors from some of the most prominent securities practices in the nation.


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