Our Services

Market Regulation Services provides a number of compliance-related services: often with a significant technology component. We operate as an independent service provider across a number of functions. Some examples are as follows:

• Books & Records Program Review
• Corporate Governance & Controls Review
• Custom Compliance-Focused Software Development
• Cybersecurity Program Review
• Disaster Recovery Plan Review
• Trade Reporting Analysis & Procedural Review
• Written Supervisory Procedures Review

For a better idea of what our capabilties are, please view our Case Studies

Case Studies

	FINRA Compliant Research Distribution RULES: FINRA Rule 2241, FINRA Rule 2242
	SEC Concerns on Spoofing RULES: Securities Act Section 17(a). Exchange Act Sections 9(a)(2), 10(b). SEC Rule 10b-5
	Cybersecurity Plan Authoring RULES: SEC Regulation S-P, SEC Regulation S-ID, Exchange Act, FINRA Cybersecurity Guidelines