AdvisorBased offers a variety of consulting services to meet the
compliance needs of broker-dealers.

• Annual compliance and supervisory process review
• Compliance audits of the firms OSJ, branch offices and detached locations.
• Development, review and updating of the WSP's and compliance manual to ensure adherence with regulatory requirements.
• Regulatory filings via the WebCRD system including U4 and U5 processing, Form BD updates, Form BR, and 4530 filings.
• Firm element CE training and annual compliance meetings.
• Books and records requirements.
• Advertisement, sales literature and marketing material review including websites and social media.
• Independent review and testing of the firm's AML compliance program.
• General compliance support including assistance with regulatory audits, correspondence review, business continuity and supervisory controls.