The Latest Regulatory News

  • FINRA Regulatory Notice 10-25
    FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals; Comment Period Expires: July 12, 2010
  • FINRA Regulatory Notice 10-22
    Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
  • Regulatory Notice 10-20
    Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
  • Regulatory Notice 10-21
    SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
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Registration services for investment advisers

L&S Consulting Group has helped hundreds of firms like yours get on the road to compliance and stay there. We offer comprehensive and affordable compliance programs designed specifically for start-up investment advisers.

Our programs can start with the registration process and dovetail into scaleable, on-going compliance programs designed to fit your business.

L&S Consulting Group offers many services to small firms, from turn-key web-based compliance programs to traditional consulting services. Use the guide below to direct you to the compliance program that meets your needs.

Use the guide below to learn more about our compliance solutions for investment advisers.