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COMMAND LINE COMPLIANCE
Regulatory Compliance Consulting Services
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
FINRA Registration Services
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