Broker-Dealer Compliance Services
We Help Broker-Dealers with Compliance
Whether you're launching a broker-dealer or scaling your operations, our team brings decades of FINRA and SEC experience, supporting licensing, supervision, outsourcing principals, and ongoing compliance management.
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Challenges
Too Many Rules to Manage
FINRA has over 800 rules. The SEC has more than 200 rules that apply to broker-dealers. Are you tracking them all?
Supervision Never Stops
Firms must monitor daily activity, supervise reps, and detect risks before they turn into compliance failures.
Pressure From Exams
Are you ready for your next FINRA or SEC exam? Mistakes can lead to fines, findings, or reputational harm.
Regulators
Key Regulators for Broker-Dealers
Understanding which regulators oversee broker-dealer activity is essential to managing compliance. Here’s a quick overview of the key agencies involved.
Requirements
Compliance Requirements for Broker-Dealers
Broker-dealers must meet a wide range of compliance obligations across multiple areas, including licensing, supervision, communications, recordkeeping, and more. These are some of the key functions regulators expect your firm to manage effectively.
FINRA NMA/CMA
Compliance Program Development
Compliance Program Management
Broker-Dealer Licensing Strategy and Planning
Vendor and Service Provider Selection Support
Form NMA/CMA
Firm Registration Filings (Form BD, Name Reservation)
Individual Registration Filings (Form U4)
FINRA Entitlement System Setup
Fidelity Bond Application
Lost and Stolen Securities Program Registration
Business Plan Drafting
FINRA Communications and Inquiry Management
Written Responses to FINRA Information Requests
Technology Demonstration Support for FINRA Approval
FINRA Pre-Approval Interview Preparation and Participation
How We Help
Let Us Manage Compliance While You Focus on Growth
Why InnReg
Broker-Dealer Compliance Is in Our DNA
InnReg was founded in 2013 by Francesco Matteini, a former Chief Compliance Officer who helped launch and scale some of the most innovative digital broker-dealers over the last two decades. He built compliance programs to support the first zero-commission broker and the first BD-sponsored investor social network.
Decades of Experience
Our team brings together multiple decades of cumulative experience in regulatory compliance and fintech.
Full-Service Solutions
InnReg can cover your entire compliance journey, from strategic planning to daily operations.
Seamless Integration
InnReg's team integrates into your organization to complement your existing resources and structures.
Expertise on Your Niche
Work directly with our regulatory specialists, each selected for their unique expertise in your specific niche.
Worldwide Expertise
With a diverse team around the globe, InnReg supports international firms in navigating multi-jurisdictional landscapes.
Cost-Effective Services
Compliance outsourcing for financial services firms can provide significant cost savings while promoting innovation.
Case Studies
Our Broker-Dealer Stories
Resources
Latest Content
Articles
Downloads
Mar 16, 2026
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17 min read
Feb 25, 2026
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22 min read
Feb 19, 2026
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12 min read
Feb 17, 2026
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14 min read
Feb 16, 2026
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23 min read
FAQ
