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Welcome
Fundamental Compliance Consulting provides Broker/Dealers with guidance and services that support compliance with FINRA Rules, Federal Securities Laws, and Securities and Exchange Commission regulations .
Fundamental imparts expert guidance regarding compliance and ongoing assistance to established and emerging FINRA member Broker/Dealers. Fundamental specializes in small Broker/Dealers with less than 50 Registered Representatives.
Regulation can be daunting, often confusing and sometimes contradictory. So with more than a decade of experience in regulation, our team will provide you with guidance you can trust. Period.
Guidance you can trust. Period.
• Private Placement Firms
• Dual BD/IA Firms
• Floor Brokers
• M&A
• Retail
• Institutional
Business Models
