Compliance for Retail Broker-Dealers

FINRA, SEC, and state supervision programs for BDs serving retail investors.

Retail BD Supervision Done Right

Retail broker-dealers operate under one of the most rigorous supervisory regimes in financial services. FINRA rules, Regulation Best Interest, Form CRS, and state-level requirements all layer on top of SEC oversight.

NextReg builds supervisory programs, WSPs, and Reg BI frameworks that give retail BDs a defensible compliance posture, whether you are a growing independent BD or a fintech launching brokerage services for retail clients.

Written Supervisory Procedures (WSPs)

Regulation Best Interest program

Form CRS drafting and updates

Reg BI conflict of interest inventory

Continuing education and firm element programs

FINRA exam preparation and response

Retail Focused

Programs calibrated for the specific risks of retail brokerage: suitability, best interest, disclosures.

Reg BI Ready

Full Regulation Best Interest program design, testing, and documentation.

Exam Prepared

FINRA cycle and cause exam preparation, on-site support, and remediation.

Need Retail BD Compliance Support?

Schedule a consultation to review your supervisory program.

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