FIXED FEE CONTRACTS:
Can be arranged for certain situations such as broker-dealer compliance with Securities and Exchange Commission (SEC) and The Financial Industry Regulatory Authority (FINRA), state registrations, preparation of Written Supervisory Procedures, conducting Annual AML Tests and devising a Continuing Education Program.
HOURLY RATE CONTRACTS:
Other services provided by Westcott & Associates, Ltd. are generally billed at an hourly rate.
SEMINARS:
Westcott & Associates, Ltd. provides a wide variety of information through seminars. We meet with your representatives and principals once a year or quarterly to discuss current compliance matters, thereby meeting current annual requirements.
Serving your firm’s securities needs…
- The quality of our work is unsurpassed.
- We provide consultation in every aspect of the business.
- We tell you before the job is started how much it will cost.
- Westcott & Associates, Ltd. can handle the necessary filings for firms and individuals who wish to become Registered Broker-Dealers.