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Regulatory Compliance Consulting Services

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Stock Exchange
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.
We will conduct an analysis to identify potential regulatory risks of your business. From there we will develop a comprehensive compliance program or suggest enhancements to your current program.
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CLC clients include registered broker-dealers, options and equity market makers, proprietary trading firms, agency execution firms, RIAs and Introducing Brokers.
This cross-section of clients plus CLC’s industry and regulatory contacts will help your firm stay informed of the latest regulatory requirements.
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Compliance Program Development.

Compliance Program Development

SEC + NFA Registrations.

Broker-Dealer + SEC registration services

Chief Compliance Officer Services

Chief Compliance Officer Services

Financial Compliance Assistance.

Financial Compliance Assistance

AML Independent Audit

AML Independent Audit

Market Access + Cybersecurity Program.

CAT Technology + Compliance Support

Email/IM + Outside Brokerage Account Reviews.

Email/IM + Outside Brokerage Account Review

SEC Filings (e.g 13h Large Trader, 17h Risk Assessment Form).

FINRA Registration Services

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