top of page


COMMAND LINE COMPLIANCE
Regulatory Compliance Consulting Services
home lower

COMPREHENSIVE COMPLIANCE SOLUTIONS
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.

CLC clients include registered broker-dealers, options and equity market makers, proprietary trading firms, agency execution firms, RIAs and Introducing Brokers.
SOME OF OUR SERVICES

Compliance Program Development

Broker-Dealer + SEC registration services

Chief Compliance Officer Services

Financial Compliance Assistance

AML Independent Audit

CAT Technology + Compliance Support

Email/IM + Outside Brokerage Account Review
_%20commandlinecompliance_com.png)
FINRA Registration Services
bottom of page