Since 1994, B/D Compliance Associates, Inc. (“BDCA”) specializes in broker/dealer and registered investment advisor compliance consulting. We help clients sort through FINRA, SEC and state compliance challenges as well as regulatory audits by providing clear, accurate analysis and expertise. In regulatory matters, BDCA serves as a liaison that ultimately saves time and internal staff resources by providing a full service outsourced compliance solutions. We offer practical regulatory compliance advice and a flexible solution that is tailored to client’s regulatory requirement.
B/D Compliance Associates is a certified Women’s Business Enterprise (“WBE”).