Leading with Experience
Led by a former regulator with years of securities industry compliance and management experience, Jamboree Securities Consulting is focused on helping broker-dealers design, implement and maintain systems and procedures designed to meet regulatory needs.
Our services encompass all aspects of operations and include:
- Completing new and continuing member regulatory applications (NMA and CMA) and filings
- Creating required compliance forms, procedures and programs
- Servicing, updating and maintaining existing procedures and programs
- Helping to manage and respond to regulatory inquiries and examinations
Jamboree Securities Consulting can provide small and mid-size broker-dealers with the compliance tools needed for their business. Jamboree Securities Consulting works with management to develop customer solutions to allow broker-dealers to manage their business in a realistic and compliant fashion.
Contact us for a free consultation to see if we can provide simple and effect compliance solutions for your firm.