FINRA Rules 3012 and 3013 can be confusing and complicated to comply with. Thornton & Associates, LLC can provide your firm with the following services to assist you in complying with rules 3012 and 3013:

• Develop a quality 3012/3013 audit program
• Identify “Producing Managers”
• File the Small Firm Exemption if applicable
• Prepare 3012/3013 Written Supervisory Procedures
• Develop Heightened Supervisory Procedures for “Producing Managers”
• Coordinate the CEO and Cheif Compliance Officer 3012/3013 meeting
• Prepare the CEO Certification

For more information about our 3012/3013 compliance services, please call us at (877) 542-6759.