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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.
Clutch
4.9 / 5.0
Gartner
4.8 / 5.0
GoodFirms
5.0 / 5.0
Challenges
Managing Compliance for Broker-Dealers Is Not Easy
Broker-dealers operate under strict FINRA and SEC rules, facing constant updates, tight supervision standards, and heavy operational demands.
Too Many Rules to Manage
FINRA has over 800 rules. The SEC has more than 200 that apply to broker-dealers. Do you know them all?
Too Many Rules to Manage
FINRA has over 800 rules. The SEC has more than 200 that apply to broker-dealers. Do you know them all?
Too Many Rules to Manage
FINRA has over 800 rules. The SEC has more than 200 that apply to broker-dealers. Do you know them all?
Supervision Never Stops
Firms must monitor daily activity, supervise reps, and detect risks before they turn into compliance failures.
Supervision Never Stops
Firms must monitor daily activity, supervise reps, and detect risks before they turn into compliance failures.
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.
Pressure From Exams
Are you ready for your next FINRA or SEC exam? Mistakes can lead to fines, findings, or reputational harm.
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.
FINRA
SEC
FinCEN
MSRB
SIPC
Who We Serve
Fintech Compliance for Every Stage and Industry
Fintech Compliance for Every Stage and Industry
Regulations affect fintechs differently based on their size, business model, and market. We provide tailored compliance solutions that align with your goals.
Regulations affect fintechs differently based on their size, business model, and market. We provide tailored compliance solutions that align with your goals.
By Regulatory Vertical
By Region
By Company Type
By Regulatory Vertical
By Region
By Company Type
Why InnReg
We Guide Your Compliance Journey While You Focus on Your Product
We Guide Your Compliance Journey While You Focus on Your Product
We offer a comprehensive suite of compliance consulting services and outsourcing solutions that enables fintech innovators to focus on what they do best.
We offer a comprehensive suite of compliance consulting services and outsourcing solutions that enables fintech innovators to focus on what they do best.
Compliance That Fits Your Workflow
We integrate with your existing platforms and processes, adapting to your workflow to function as part of your team without extra complexity.
Compliance That Fits Your Workflow
We integrate with your existing platforms and processes, adapting to your workflow to function as part of your team without extra complexity.
Compliance That Fits Your Workflow
We integrate with your existing platforms and processes, adapting to your workflow to function as part of your team without extra complexity.
Expertise on Your Niche
Work directly with our regulatory specialists, each selected for their expertise in your niche, with experience across key regulators in multiple jurisdictions worldwide.
Expertise on Your Niche
Work directly with our regulatory specialists, each selected for their expertise in your niche, with experience across key regulators in multiple jurisdictions worldwide.
Expertise on Your Niche
Work directly with our regulatory specialists, each selected for their expertise in your niche, with experience across key regulators in multiple jurisdictions worldwide.
Decades of Experience
With multiple decades of cumulative experience in regulatory compliance and fintech, our team has worked with 100+ innovative financial products and services, helping them navigate industry changes and compliance demands.
Decades of Experience
With multiple decades of cumulative experience in regulatory compliance and fintech, our team has worked with 100+ innovative financial products and services, helping them navigate industry changes and compliance demands.
Decades of Experience
With multiple decades of cumulative experience in regulatory compliance and fintech, our team has worked with 100+ innovative financial products and services, helping them navigate industry changes and compliance demands.
Cost-Effective Compliance Solutions
Building an in-house compliance team requires a significant investment, but outsourcing can cut costs by up to 50% without sacrificing expertise.
Cost-Effective Compliance Solutions
Building an in-house compliance team requires a significant investment, but outsourcing can cut costs by up to 50% without sacrificing expertise.
Cost-Effective Compliance Solutions
Building an in-house compliance team requires a significant investment, but outsourcing can cut costs by up to 50% without sacrificing expertise.
Case Studies
We’ve Helped Some of the Most Innovative Fintechs Out There
Here are some real examples of how we’ve helped companies streamline compliance and accelerate growth.
About Us
Your Trusted Compliance Experts
InnReg is a global regulatory compliance and operations consulting team serving financial services companies since 2013.
We are especially effective at launching and scaling fintechs with innovative compliance strategies and delivering cost-effective managed services, assisted by proprietary regtech solutions.
"InnReg has been the driving force in establishing our compliance, legal, and risk management functions. Their experience and profound knowledge of the industry have been instrumental."
Client President and COO
"It is like having an in-house regulatory department. They came in, listened, understood our needs, and built our compliance systems from the ground up."
Client CEO
"Using InnReg as our outsourced compliance program allows us to keep up with the frequency and depth of complex regulatory requirements."
Client CEO
"It's a relief to know that we have expert industry professionals taking care of both our compliance and information security programs."
Client CEO
"InnReg understands fintech, online brokers and robo-advisors like no other compliance consultants, with a substantial network of third-party providers."
Client Founder and President
"They have become a full extension of our team and we would not be in the same place today without their endless guidance, support, and great judgment."
Client CEO
"We initially hired InnReg to provide temporary support, but they have become an intrinsic part of our business.”
Client CEO
"Their solutions target startups and are customized to our niche and vision, without restricting innovation."
Client CEO
"Whatever our company achieves, it wouldn't have been possible without your first class services."
Client VP of Legal
"Partnering with InnReg during a pivotal period of our growth was one of the best decisions we made."
Client CEO
"InnReg has been the driving force in establishing our compliance, legal, and risk management functions. Their experience and profound knowledge of the industry have been instrumental."
Client President and COO
"It is like having an in-house regulatory department. They came in, listened, understood our needs, and built our compliance systems from the ground up."
Client CEO
"Using InnReg as our outsourced compliance program allows us to keep up with the frequency and depth of complex regulatory requirements."
Client CEO
"It's a relief to know that we have expert industry professionals taking care of both our compliance and information security programs."
Client CEO
"InnReg understands fintech, online brokers and robo-advisors like no other compliance consultants, with a substantial network of third-party providers."
Client Founder and President
"They have become a full extension of our team and we would not be in the same place today without their endless guidance, support, and great judgment."
Client CEO
"We initially hired InnReg to provide temporary support, but they have become an intrinsic part of our business.”
Client CEO
"Their solutions target startups and are customized to our niche and vision, without restricting innovation."
Client CEO
"Whatever our company achieves, it wouldn't have been possible without your first class services."
Client VP of Legal
"Partnering with InnReg during a pivotal period of our growth was one of the best decisions we made."
Client CEO
Resources
Expert Insights on Compliance and Regulations
Explore expert articles, regulatory updates, and practical guides to help you navigate fintech compliance.
Articles
Regulatory Updates
Downloads
Articles
Regulatory Updates
Downloads
Let’s Talk About Your Compliance Needs
Let’s Talk About Your Compliance Needs
We offer a comprehensive suite of compliance consulting services and outsourcing solutions that enables fintech innovators to focus on what they do best.
We offer a comprehensive suite of compliance consulting services and outsourcing solutions that enables fintech innovators to focus on what they do best.
Who We Serve
By Regulatory Vertical
By Company Type
Compliance and Operations
By Function
By Compliance Role
Licensing and Registrations
By Regulator
Resources
About InnReg
Who We Serve
By Regulatory Vertical
By Company Type
Compliance and Operations
By Function
By Compliance Role
Licensing and Registrations
By Regulator
Resources
About InnReg
Who We Serve
By Regulatory Vertical
By Company Type
Compliance and Operations
By Function
By Compliance Role
Licensing and Registrations
By Regulator
Resources
About InnReg