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Thornton & 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.
Our staff are experts in the Anti-Money Laundering Compliance. Our AML services include:
Our customized compliance packages are designed to fit your firm’s specific regulatory needs:
Our staff of Series 27/28 licensed professionals have decades of financial and regulatory experience who can provide your firm with:
Effective Date: July 1, 2019 SEC Approves Amendments to Arbitration Codes to Expand ...
The annual meeting of FINRA firms will take place on or about Monday, August 19, 2019, to...
FINRA is issuing this Notice to remind firms they must register with FINRA CAT, LLC (...