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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:
1. Regulatory Notice 21-05: Certain broker/dealers who submit the annual certified audit ...
Regulatory Notice 21-18 Summary FINRA has received an increasing number of reports ...
Regulatory Notice 21-10 Summary FINRA has updated the form that members must use to...