Command Line Compliance is a Chicago based consulting firm that offers regulatory consulting services to small and mid-size broker-dealers. 

We also offer RIA services and compliance support for futures firms. Our staff is former regulators who have extensive knowledge of SEC, FINRA and Exchange regulatory requirements and who have served in a CCO role.

This solid foundation serves to help you navigate the regulatory environment whether it be the start-up process of a new broker-dealer or to maintain and enhance your current compliance program.