Sandler Business Services provides consulting services in conjunction with Compliance Matters LLC, a strategic alliance of experts in FINRA & SEC regulations.

Compliance Matters is dedicated to ensuring that its  Broker-Dealers & Registered Investment Advisor clients are compliant with all current financial regulations.

Compliance Matters advises clients in all aspects of their financial service businesses. They facilitate and submit FINRA New Member Applications, provide ongoing compliance services, and support firms as they prepare for and undergo FINRA & SEC exams.








 


FINANCIAL & OPERATIONS MANAGEMENT FOR YOUR BUSINESS