Compliance for Institutional Broker-Dealers

Supervisory frameworks, market conduct programs, and FINRA exam readiness for institutional BDs.

Purpose-Built for Institutional BDs

Institutional broker-dealers face a different risk profile than retail: prime brokerage, capital markets, ATS operations, order routing, and cross-border activity all raise their own supervisory questions.

NextReg supports institutional BDs with WSP design, market conduct surveillance, order handling reviews, and FINRA and SEC exam preparation calibrated to institutional business lines.

Written Supervisory Procedures for institutional business

Market conduct and trade surveillance program

Order handling and best execution review

ATS and MPID compliance support

AML program and customer due diligence

FINRA and SEC exam preparation

Institutional Focus

Programs calibrated for capital markets, prime brokerage, and institutional order flow.

Market Conduct

Trade surveillance, best execution, and order handling reviews built to institutional standards.

Exam Prepared

FINRA and SEC exam readiness, on-site support, and remediation planning.

Need Institutional BD Compliance Support?

Schedule a consultation with a NextReg CCO.

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