Every broker dealer is required to establish, maintain and enforce Written Supervisory Procedures that are designed to ensure compliance with all applicable regulatory rules and regulations. Thornton & Associates, LLC prides itself on its customized Written Supervisory Procedures. Our procedures are continuously reviewed by the SEC, finra and state regulatory agencies and are updated to reflect changes in rules and regulations.

With all of the changes in the regulatory industry and the consolidation of the NYSE and NASD rule books, maybe it’s time to let Thornton & Associates, LLC’s, team of former NASD/finra examiners either review and update your supervisory procedures or create a new customized version.

For more information about our Written Supervisory Procedures and other compliance services, please contact us at (877) 542-6759