Regulatory Compliance appreciates the support of this event from
the following sponsors and exhibitors:
Full BD and RIA registration services. Specialists serving the ongoing compliance needs of Broker-Dealers and Registered Investment Advisers. Registered Rep registrations, renewals, Continuing Education management. Manuals, including Supervisory Procedures, Anti-Money Laundering, Business Continuity and Identity Theft. Office inspections, AML reviews, and mock FINRA/SEC exams. FINOP and other accounting services. Visit www.RegulatoryCompliance.com for more information or call today 603-434-3594
Global Relay is the leading provider of cloud-based electronic message archiving, supervision, and eDiscovery solutions for the global financial sector, delivering services to 17,500 customers in 90 countries. Global Relay Archive securely captures and preserves email, instant messaging, mobile messaging, Bloomberg, Thomson Reuters, Twitter, LinkedIn, Facebook and more — with BlackBerry, iPhone, iPad, Android, Outlook and Web access. Global Relay has strategic partnerships worldwide, including an exclusive global Partnership for Thomson Reuters Messaging.
TD Ameritrade Institutional is a leading provider of comprehensive brokerage and custody services to more than 4,500fee-based, independent Registered Investment Advisors and their clients. Our advanced technology platform, coupled with personal support from our dedicated service teams, allows investment advisors to grow their businesses more efficiently and effectively, while optimizing time spent with clients. We provide a robust offering of products, programs, and services designed to help advisors build their businesses and help their clients reach their financial goals. Learn more at tdainstitutional.com or call us at 800-934-6124. TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC
DeMarco Sciaccotta Wilkens & Dunleavy, LLP is a full-service boutique accounting and advisory firm. With more than 75 years of collective experience at a leading U.S. accounting firm, our partners have earned the loyalty of clients nationwide. We are a Public Company Accounting Oversight Board (PCAOB) registered firm and have undergone peer review as administered by the American Institute of Certified Public Accountants.