Broker-Dealer / Bank-Dealer  Compliance  Services

Expert Compliance Consulting Services for Broker Dealers and Bank Dealers. Take advantage of ARS’s risk and compliance solutions and support. Manage your risk with ARS on your team: Annual 3130 Reporting, Anti-Money Laundering Training, Regulatory Filings, Written Supervisory Procedures, Surveillance, Regulatory Bulletins, Expert Witness Research and Testimony, Audit & Regulatory Support and more.

Municipal Advisor Compliance Services

ARS is a leading Municipal Advisor Compliance Consultant serving Municipal Advisors across the country. Our dedicated work has allowed our clients to stay within regulatory parameters and achieve compliance success.

Let us take care of the details: Regulatory Filings, Written Supervisory Procedures, Surveillance, Regulatory Bulletins, Training, Expert Witnesses, Annual Certifications, Audit & Regulatory Support and more.