Alternative Regulatory Solutions, LLC Information

Alternative Regulatory Solutions, LLC (ARS) provides expert compliance outsourcing services for Broker Dealers, Bank Dealers, and Municipal Advisors. Manage your risk with ARS on your team conducting annual 3130 reporting, anti-money laundering training, regulatory filings, written supervisory procedures, surveillance, regulatory bulletins, expert witness research and testimony, as well as audit and regulatory support. Certified by the WBENC as a Women's Business Enterprise (WBE) ARS also specializes in Municipal Advisor Compliance services that include initial and annual registration preparation and regulatory filings. ARS will amend and update SEC Forms MA, MA-I and MSRB Form A-12 for changes in personnel, firm and individual registrations, and will file G-37 political contribution reports. ARS also creates, amends, and updates written supervisory procedures and surveillance programs, exception identification and management reporting, as well as provide regulatory and industry best practice bulletins. ARS conducts on-site and off-site training, provides compliance support for RFPs, IRMA, and engagement letters, annual G-44 certification reviews and reporting, and we provide support and assistance with regulatory exams, inquiries, subpoenas, sweep letters, and internal audits.