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Inst. of Broker-Dealers
Compliance FINRA Rules Tools & Calcs Guides
Not Legal Advice. Just Hard Reality.

The Concrete Standard for FINRA Practice.

We bypass the platitudes to deliver exact workflows, enforcement data, and regulatory structures for the 3,300+ broker-dealers operating in the US today.

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2023 FINRA Fines $89M

Total fines levied across 800+ disciplinary actions.

Rule 3110 Deficiencies 62%

Percentage of routine exams citing supervision failures.

Reg BI Citations 412

Firms cited specifically for Form CRS and care obligation failures.

Expelled Firms 24

Firms expelled from the industry for severe AML or net capital violations.

Knowledge Architecture

FINRA Rulebook Navigation

We do not just copy the manual. We annotate Rules 3110 (Supervision), 2111 (Suitability), and 3310 (AML) with actual enforcement context and what examiners demand in the field.

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Calculators & Risk Matrices

Ten exact, interactive tools spanning Net Capital 15c3-1 margin requirements, branch audit scoring algorithms, and Regulation Best Interest exposure.

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Operational Playbooks

From the New Member Application (NMA) 1014 standards to structuring a defensible 3120 Annual Supervisory Control Report.

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WSP Architecture

Stop relying on stale templates. Learn how to map your firm's specific business lines (retail, institutional, M&A) to customized Written Supervisory Procedures.

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The Form BD Minefield

Disclosure reporting (U4, U5, and BD) accounts for the highest volume of technical violations. We break down exact thresholds for "prompt" filing vs. regular updates.

Read the Filing Guide

Most Cited Failures (2023)

  • 01.

    Failure to establish, maintain, and enforce written procedures.

    Rule 3110(b)(1). Having a manual is insufficient if logs do not prove active enforcement.

  • 02.

    Inadequate AML transaction monitoring.

    Rule 3310(a). Often caused by miscalibrated exception reports generating excessive false positives.

  • 03.

    Unapproved outside business activities (OBAs).

    Rule 3270. Registered reps failing to provide prompt written notice of compensation outside the firm scope.

Stop Guessing. Calculate.

Compliance demands precision. Use our interactive tools to quantify risk, capital requirements, and audit scopes before examiners do it for you.

Net Capital Evaluator (Rule 15c3-1)

Full Tool →
AI to NC Ratio :1

Warning: Ratio exceeds 15:1 limit for established broker-dealers.

Status nominal. Max limit is 15:1 (or 8:1 for first year).

Essential Reading

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