Quadrant Regulatory Group

quadrant regulatory group provides broker-dealers and registered investment advisors with services that support compliance with sec, finra, msrb, nfa, sro, and state securities laws. quadrant delivers expert guidance, ongoing assistance during regulatory examinations, compliance support, testing, and financial and accounting services. quadrant has a dedicated team of certified anti-money laundering specialists that perform independent tests of firms’ anti-money laundering compliance programs. our experience as former regulators has not distorted our understanding of how business should be run in a financial marketplace, but has given us the ability to know what regulators are looking for and the compliance challenges faced by broker-dealers and registered investment advisers. our consultants will work for you, and with you, to achieve compliance with the rules and regulations of finra, the sec, state regulators and other self-regulatory organizations.