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// FINRA compliance consulting

FINRA compliance consulting for 4530 reporting, OBA controls, and arbitration readiness.

Regulatory-grade policies, workflows, and playbooks for small and mid-size broker-dealers, built by someone who has worked inside the regulator, the wirehouse, and the dispute-resolution forum. Remote-first, nationwide, scoped before it is priced.

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4530 → OBA → arbitration-ready
FINRA compliance workflow connecting Rule 4530 event intake, a should-have-known review, OBA approval tracking, disclosure trend analysis, and a submitted Form 4530 filing.
// disclosures tracked before they become findings
// Regulatory mileage

Experience from both sides of the compliance desk.

Not a general practice that dabbles in securities. This work is built on years inside the industry and its regulator.

FINRA, Goldman Sachs, Wells FargoCompliance and legal roles at the regulator and two major firms before founding this practice.
FINRA ArbitratorServes on FINRA’s dispute-resolution arbitrator roster.
Practicing LitigatorActive courtroom and dispute experience, so procedures are built to survive contact with a real case.
Washington University School of LawJ.D. with a Certificate in Business & Corporate Law.
// The focus

Three procedural areas, done deeply.

Not a 300-page generic compliance manual. Focused help on the reporting and dispute rules where small firms actually get written up.

// Rule 4530

Reporting & complaint workflows

In plain English: the duty to report certain events, regulatory findings, and customer complaints to FINRA, usually within 30 days.

The 30-day clock starts whether or not your intake noticed. This work systematizes how reportable events get caught, escalated, and documented.

  • Gap assessment against Rule 4530 and FINRA guidance
  • WSPs and checklists for complaint intake and escalation
  • Routing for 30-day reporting decisions, including “should have known” events
  • Quarterly complaint-reporting hygiene and recordkeeping
// Rule 3270

Outside business activity controls

In plain English: the rule requiring registered reps to disclose, and get firm approval for, work and business activities outside the firm.

OBAs are a repeat exam topic because the process leaks: activities slip through, approvals go undocumented, and updates never reach the U4.

  • OBA program assessment and redesign
  • Standardized request forms: role, time, compensation, conflicts
  • Approval matrices and periodic attestation cycles
  • Tie-ins to timely Form U4 / U5 amendments
// Arbitration codes

Arbitration readiness under the Codes

In plain English: FINRA’s procedural rulebook for customer and industry dispute resolution, from filing deadlines to discovery.

By the time a claim arrives, the record is already built. This work makes sure the record you build is one you can defend.

  • Readiness reviews against Code of Arbitration Procedure deadlines
  • Answer outlines, affirmative-defense and discovery frameworks
  • Arbitrator-selection and settlement-timing checklists
  • Complaint handling that anticipates FINRA Dispute Resolution Services
// Fixed-scope offerings

Productized engagements, priced before work begins.

Each one is a defined deliverable with a flat fee, quoted after a short scoping call. No open-ended retainer required.

Assessment

4530 / OBA compliance health check

Flat fee quoted after a scoping call

  • Remote review of 4530 triggers, timelines, and recordkeeping
  • OBA intake, approval, and monitoring under Rule 3270
  • U4 / U5 amendment practices checked against internal records
  • Findings memo with prioritized, practical fixes
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Playbook

Complaint-to-arbitration playbook

Flat fee quoted after a scoping call

  • Intake procedures connecting complaints to 4530 reporting decisions
  • Escalation and investigation templates that build a defensible record
  • Answer and discovery frameworks keyed to Code deadlines
  • Clear decision points and owners at every step
Request scoping →
Training

Compliance training modules

Per module 60 to 90 minutes, remote

  • 4530 reporting for compliance, legal, and branch managers
  • OBA risk and process under Rule 3270
  • Inside the FINRA arbitration process, for firm leadership
  • Issue-spotting drills drawn from real exam and enforcement patterns
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Who this is for

  • Small and mid-size broker-dealers without deep in-house FINRA counsel
  • Chief compliance officers and compliance teams
  • Firm leadership responding to exam findings
  • Counsel seeking consulting support on FINRA procedure
  • Fintechs operating near broker-dealer rules

What this covers

  • Rule 4530 triggers, timelines, and recordkeeping
  • Complaint intake and escalation workflows
  • Rule 3270 OBA policies and U4 / U5 amendment practices
  • Written supervisory procedure drafting and redlines
  • Arbitration playbooks under the Codes of Arbitration Procedure
  • Exam preparation and document organization

Common deliverables

  • Gap-assessment findings memo
  • WSP sections, drafted or redlined
  • Intake forms, checklists, and approval matrices
  • Playbooks with deadlines, owners, and templates
  • Training decks and session recordings
  • Referral coordination when a matter needs litigation counsel
// Compliance consulting services

Also scoped as standalone engagements.

Beyond the three fixed-scope packages above, these come up often enough to price on their own.

WSP Drafting & Review

Written Supervisory Procedures built or updated to match your actual business lines, not a generic template.

Rule 4530 Reporting Program

Intake, escalation, and filing workflows so reportable events get flagged and filed on time, every time.

OBA & Private Securities Review

Rule 3270 outside business activity approvals and private securities transaction review, built into onboarding and annual attestations.

Regulatory Exam Response

Document production, narrative responses, and interview preparation for FINRA and state exam requests.

AML/BSA Program Review

Customer identification, monitoring, and SAR-filing procedures reviewed against Rule 3310 and current FinCEN guidance.

U4/U5 Amendment Review

Registration and disclosure amendments reviewed before filing, so disclosure events are characterized correctly the first time.

Complaint Recordkeeping

Complaint intake, escalation, and Rule 4513 recordkeeping built to survive an exam.

FINRA Arbitration Representation

Representation in customer and industry arbitration, from statement of claim through hearing and award.

// How it works

Scoped first. Then priced.

Flat fees work best when the deliverables and complexity are knowable. If a matter becomes open-ended, pricing can be phased so the client still knows what is happening.

Intake

You provide basic facts, goals, timeline, and relevant documents.

Fit check

We identify conflicts, scope, and whether this practice is the right match.

Flat-fee quote

When the project can be defined, you receive a clear quote and included deliverables.

Work and review

You receive drafts, recommendations, and a practical explanation of what to do next.

// Resource

Start with the readiness checklist.

Skim the FINRA Compliance Readiness Checklist before booking, so the scoping call starts a few steps ahead. Newer to the industry map? The Broker-Dealer vs. Investment Adviser guide covers the basics.

Open the checklistBD vs. IA guide
// FAQ

Questions firms ask first.

It depends on the engagement. Reviews, program design, and training are typically structured as compliance consulting. Where legal advice or privilege matters, the work can be set up as a legal engagement, and that choice is made explicit before anything begins.

Yes, for defined projects. Health checks, program redesigns, playbooks, and training modules are scoped and quoted as flat fees after a short call. Open-ended disputes are usually phased so the price stays visible.

No. FINRA rules read the same in every state, and this consulting practice is remote-first and nationwide. Where a matter needs state-specific legal advice, that is flagged early and coordinated properly.

Because exams test how procedures operate, not how they read. The assessment maps your actual intake, escalation, and documentation flow against what Rules 4530 and 3270 require, and closes the gaps before an examiner finds them.

// Regulatory Watch

What we're watching in FINRA & securities right now.

A running log of the rule changes and comment periods that actually affect small and mid-size firms, written up as they happen.

Loading the latest entries…

See the full tracker →

// Next step

Get scope before commitment.

Book a consultation or request a quote. No attorney-client relationship is created until conflicts are cleared and an engagement agreement is signed.

Book a free consultationRequest a flat-fee quote