Quickly understanding your business and applying our expertise to support your Broker-Dealer compliance program.

Balancing your compliance needs, with your investment banking business goals.

Proven Fixed Income and Municipal Securities Compliance Consulting Solutions.

Broker-Dealer Compliance

FINRA & SEC Compliance Consultants

Whether your firm is a limited or full service broker-dealer, Halyard Compliance has wide-ranging compliance consulting experience and is able to quickly understand your firm’s business model, culture and needs.

Capital Markets Compliance

Fixed Income Compliance Consultants

Whether its traditional capital markets models or fintech online capital raising, Halyard has experience in a wide-range of regulations and business models, including: Investment Banking, Placement Agent, Private Equity Underwriting, Regulation D, Rule 506(b), Reg D, Rule 506(c); Regulation A; Regulation S; Regulation CF, Rule 144 and much more…

Fixed Income & Municipal Securities Compliance Consulting

Municipal Securities Compliance

Halyard comes armed with deep regulatory, operational and industry experience and supports broker-dealers with a variety of business model and financial product offerings, including municipal bonds, corporate bonds, agencies and supranational bonds, US treasury bonds and structured products.

We are ready to assist with your general compliance program needs as well as your nuanced underwriting compliance and trading questions, which includes TRACE and MSRB RTRS trade reporting as well as EMMA, SEC and FINRA regulatory filing challenges.

Broker-Dealer Compliance Consulting

Our Capital Markets Compliance Consultants are armed with solutions designed to address the supervisory system and compliance program requirements for broker-dealers of all sizes, which may include:

  • Ongoing Regulatory Consulting Services

  • Outsourced Chief Compliance Officer (CCO) Department Services

  • Written Supervisory Procedures (WSP) Construction, Maintenance and Gap Analysis

  • Annual Compliance Program Reviews (FINRA Rule 3130 and Rule 3110)

  • Supervisory Controls Testing (FINRA Rule 3120)

  • Mock Regulatory Audits

  • Books and Records Reviews - WORM Storage - SEC Rule 17a-4 and 17a-3

  • Branch and Non-Branch Office Location Auditing

  • Market Access Assessment – 15c3-5

  • Continuing Education Needs Analysis

  • Compliance Meetings and Employee Continuing Education

  • Conflict of Interest Reviews and Risk Assessments

  • Communication System Reviews (Emails, Social Media, and more)

  • Market Regulation Guidance (TRACE, OATS, MSRB RTRS, and more)

  • Research Regulations

  • Capital Markets Control Room Guidance and Assessments

  • Due Diligence Assessments and Guidance

  • New Membership and Continuing Membership Applications (CMAs)

  • Business Continuity Plan Construction and Assessments

  • Regulation SHO and Regulation Best Interest

  • Anti-Money Laundering Compliance Solutions

  • Marketing Material Reviews and Administration

  • Registered Representative Registration and Form Filings

  • Underwriting, trade reporting, NIIDS, DTC and IPERO filings

  • Customized FINRA Compliance Consulting Solutions

    And much more….