COMMAND LINE COMPLIANCE

Regulatory Compliance Consulting Services

 
Stock Exchange
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.
OUR PROCESS
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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Image by Benjamin Rascoe
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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SOME OF OUR SERVICES
Compliance Program Development. commandlinecompliance.com

Compliance Program Development

SEC + NFA Registrations. commandlinecompliance.com

Broker-Dealer + SEC registration services

Chief Compliance Officer Services

Chief Compliance Officer Services

Financial Compliance Assistance. commandlinecompliance.com

Financial Compliance Assistance

AML Independent Audit

AML Independent Audit

Market Access + Cybersecurity Program. commandlinecompliance.com

CAT Technology + Compliance Support

Email/IM + Outside Brokerage Account Reviews. commandlinecompliance.com

Email/IM + Outside Brokerage Account Review

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

FINRA Registration Services