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B/D Solutions - for your Broker DealerB/D Solutions Consulting has extensive experience and expertise in providing the hands-on assistance needed to successfully plan, build and operate a Broker-Dealer.  

Since 1993, we have guided hundreds of firms in making their way through the maze of securities regulation and compliance. 

“We create compliance out of chaos…”

SEC

FINRA

MSRB

NASDAQ

OTC

FOCUS

SSOI

SIS

BD

U4 U5

ADV

CRD

PCAOB

OATS

TRACE

REG M

REG D

REG SP

REG CF

REG T

AML

CEP

NMA

BCP

CMA