Regulatory Ridge, LLC is based in Colorado, but works with financial institutions around the country. Our clients vary in size, engage in a broad range of business activities, and maintain a diverse product mix. The consulting services offered by Regulatory Ridge, LLC include, but are not limited to:
Alternative Trading Systems
AML independent testing and program enhancement
Branch Audits
Business continuity planning, disaster recovery, incident response and pandemic preparedness
Continuing education and training
FINRA Form NMA registration and CMA filings
Information security implementation and reviews
Internal auditing
Mock FINRA and/or SEC exams
Policy and procedure development
Regulation SCI interpretation and implementation
SEC Form ATS filing
AML independent testing and program enhancement
Branch Audits
Business continuity planning, disaster recovery, incident response and pandemic preparedness
Continuing education and training
FINRA Form NMA registration and CMA filings
Information security implementation and reviews
Internal auditing
Mock FINRA and/or SEC exams
Policy and procedure development
Regulation SCI interpretation and implementation
SEC Form ATS filing
Banks and Money Services Businesses
BSA/AML independent testing and program enhancement
Business continuity planning, disaster recovery, incident response and pandemic preparedness
Policy and procedure development
BSA/AML independent testing and program enhancement
Business continuity planning, disaster recovery, incident response and pandemic preparedness
Policy and procedure development
Broker-Dealers
AML independent testing and program enhancement
Branch Audits
Continuing education and training
Cybersecurity implementation and testing
Electronic communication and social media reviews
Employee and proprietary trading reviews
FINRA Form NMA registration and CMA filings
FINRA Central Registration Depository (CRD) administration
FINRA Rule 3110/3120 testing
Mock SEC and FINRA exams
Policy and procedure development
Registered representative licensing and registration
AML independent testing and program enhancement
Branch Audits
Continuing education and training
Cybersecurity implementation and testing
Electronic communication and social media reviews
Employee and proprietary trading reviews
FINRA Form NMA registration and CMA filings
FINRA Central Registration Depository (CRD) administration
FINRA Rule 3110/3120 testing
Mock SEC and FINRA exams
Policy and procedure development
Registered representative licensing and registration
Funding Portals
FINRA Form FP-NMA preparation and filing
FINRA Funding Portal Registration Depository (FPRD) administration
Mock FINRA exams
Policy and procedure development
SEC Form Funding Portal preparation and filing
FINRA Form FP-NMA preparation and filing
FINRA Funding Portal Registration Depository (FPRD) administration
Mock FINRA exams
Policy and procedure development
SEC Form Funding Portal preparation and filing
Investment Advisors
AML independent testing and program enhancement
Advertising reviews
Annual compliance reviews
FINRA Investment Advisor Registration Depository (IARD) administration
Employee and proprietary trading reviews
Form ADV Parts 1 and 2 preparation, renewals, and updates
Mock SEC and state exams
Policy and procedure development
SEC and state registrations
SEC Form 13D, 13F, 13G and 13H preparation
AML independent testing and program enhancement
Advertising reviews
Annual compliance reviews
FINRA Investment Advisor Registration Depository (IARD) administration
Employee and proprietary trading reviews
Form ADV Parts 1 and 2 preparation, renewals, and updates
Mock SEC and state exams
Policy and procedure development
SEC and state registrations
SEC Form 13D, 13F, 13G and 13H preparation
Self-Regulatory Organizations
Business continuity planning, disaster recovery, incident response and pandemic preparedness
Information security implementation and reviews
Internal auditing
Mock SEC exams
Policy and procedure development
Regulation SCI interpretation and implementation
SEC Form 1 preparation
Business continuity planning, disaster recovery, incident response and pandemic preparedness
Information security implementation and reviews
Internal auditing
Mock SEC exams
Policy and procedure development
Regulation SCI interpretation and implementation
SEC Form 1 preparation