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Thornton and Associates, LLC was founded and is staffed by former NASD/FINRA examiners and compliance professionals. Our firm provides customized regulatory and compliance services to FINRA member broker dealers and SEC/State Registered Investment Advisers.
We understand the difficulties that broker dealers and RIAs encounter as they try to run and grow their business while simultaneously maintaining compliance with SEC, state and FINRA rules and regulations. For more information about our customized compliance services, please contact us at (877) 542-6759.
Please read the following regarding FINRA Exam Restructuring starting October 1, 2018. ...
2018 Regulatory and Examination Priorities Letter...
FINRA Fines on Pace to Drop 73% in 2017...