Compliance Solutions for Broker-Dealers

Compliance Services for Broker-Dealers

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ACA offers broker-dealers a range of services for regulatory compliance assistance. Our clients choose the solution that best suits their size, structure, and circumstances.

Comprehensive C3 Solution®


Our comprehensive C3 Solution service combines core regulatory compliance assistance with ongoing support to help firms ensure their compliance programs are up to date and effective.

Broker-dealers receive comprehensive assistance in two important areas: Core Regulatory Compliance Support and Ongoing Regulatory Compliance Support.

Core Regulatory Compliance Support

Our Core Support services focus on helping firms meet their annual compliance requirements and include:

  • Conducting the on-site annual reviews and testing required by FINRA rules
  • Assisting chief compliance officers in preparing the required Annual Certification
  • Preparing annual continuing education needs analyses and training plans
  • Drafting annual compliance meeting materials and agendas for client review and approval

Under the Core Support services, we also provide on-site or off-site support to broker-dealers during FINRA examinations. This assistance includes:

  • Liaising with FINRA examiners
  • Assisting with FINRA document requests
  • Contributing to written responses to FINRA deficiency letters

C3 Solution® broker-dealer clients also remain current on regulatory issues through our BD Newsletter, timely email compliance alerts, and live and archived compliance webcasts.

Ongoing Regulatory Compliance Support

The Ongoing Support services portion of our C3 Solution® has four key components:

  • “On-call” assistance with compliance and operational questions or in response to informal FINRA inquiries
  • Assistance with keeping written supervisory procedures current and accurate
  • Assistance with compliance calendar
  • Telephone and email consulting


Premium Services

ACA also offers premium services to further assist clients with their compliance programs:

  • Support for form filings on the Central Registration Depository (CRD) system
  • Email surveillance
  • Brokerage statement review
  • Marketing review
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Compliance Cornerstone™


We designed our Compliance Cornerstone solution for broker-dealers with a less comprehensive need for compliance assistance. This program provides help with essential compliance tasks such as:

  • Updating written supervisory procedures
  • Developing annual compliance meeting agendas
  • Completing continuing education needs analyses and written training plans
  • Providing guidance on CRD form filings

In addition, the Cornerstone program delivers helpful educational and compliance information through a quarterly regulatory update conference call, email compliance alerts, and our BD Newsletter.

Compliance Assistant™


Broker-dealers that simply need to stay current on compliance issues or that have occasional compliance questions choose our Compliance Assistant program. Clients access our compliance professionals by telephone and email as their needs arise. The Compliance Assistant program also keeps broker-dealers informed through timely email alerts on critical issues and the BD Newsletter