SONFIELD & SONFIELD Regulatory Consulting Services
Regulatory Consulting
Consultation on net capital and financial responsibility rules of securities firms.
Implementation of regulatory rules and regulations.
Sales practice reviews for broker/dealers and commodities firms.
SIPC and other liquidations.
Fraud investigations, litigation support, expert witness testimony.
New product development (UITs, mutual funds, CMOs, etc.)
Client representation before regulatory bodies.
Financial audits.
Microcomputer advisory services.

 

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