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 or call us at (877) 542-6759.
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COMPLY’s Leading Code of Ethics Monitoring and Direct Broker Feed Ingestion Engine to ...
1. Regulatory Notice 21-05: Certain broker/dealers who submit the annual certified audit ...