Home About Services News Testimonials Contact     Services           FINOP Services SRO Audit Preparation     Register a senior representative as your Financial and Operations Principal File Focus Reports (monthly and/or quarterly) and Net Capital Computation Prepare annual Schedule I filing File annual FINRA Assessment Report Review Trading activity Breaks and Errors Customer Unsecured debits Review relevant books and records Examine key business practices Suggest improvements to procedures and practices Inform senior management of audit requirements Implement accepted recommendations Organize physical books & records and related files Be on-site for FINRA exam         Chief Compliance Officer Compliance Register a senior representative as your Chief Complicance Officer Perform AML check for new accounts Review and supervise Email Review and apprive advertising and correspondence Review employee accounts & daily trading Review instances of insider trading activity Annual AML Audit Written Supervisory Procedures Perform Compliance audit as required for Rule 3012, 3013 and annual CEO certification Membership Application Process Review State, FINRA and SEC inquiries Conduct branch Audit and annual meetings BCP (business continuity plans) create, implement and update CE continuing education: create and administer firm element CE regulatory element administration Corporate Secretary Services Register with your State of Incorporation as Secretary Maintain Company stock ledger Create Corporate Actions as required by FINRA and States Respond to State inquires File annual franchise tax returns Accounting   Controller/CFO Services Bookkeeping Services Payroll Services Set up and selection of accounting software Chart of accounts set up Internal Control Procedures Tax Management Negotiate Clearing agreements Trial Balance Statement of Income Statement of Financial Condition General Ledger General Ledger account reconciliation Reconcile Bank and Clearing Firm Statements Produce Income & Expense Statements Coordinate Annual Audit with your Auditors Accounts Payable Accounts Receivable Prepare Payroll and time sheets Prepare and Review Payroll tax returns Broker commission calculations   ARC Consulting Systems, LLC PO Box 125 Middletown, NJ 07748 Phone: (732) 533-5074 emccabe@ARC-SYSLLC.COM Click here for brochure