Alternative Regulatory Solutions
Financial Services, 101 Eisenhower Pkwy, Roseland, New Jersey, 07068, United States, 1-10 Employees
Phone Number: +18*********
Who is ALTERNATIVE REGULATORY SOLUTIONS
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 tea...
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Headquarters: 101 Eisenhower Pkwy, Roseland, New Jersey, 07068, United States
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Date Founded: 2009
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Employees: 1-10
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Revenue: $1 Million to $5 Million
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Active Tech Stack: See technologies
Industry: Financial Services
SIC Code: 8742
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NAICS Code: 541618 |
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Frequently Asked Questions Regarding Alternative Regulatory Solutions
Answer: Alternative Regulatory Solutions's headquarters are located at 101 Eisenhower Pkwy, Roseland, New Jersey, 07068, United States
Answer: Alternative Regulatory Solutions's phone number is +18*********
Answer: Alternative Regulatory Solutions's official website is https://alternativereg.com
Answer: Alternative Regulatory Solutions's revenue is $1 Million to $5 Million
Answer: Alternative Regulatory Solutions's SIC: 8742
Answer: Alternative Regulatory Solutions's NAICS: 541618
Answer: Alternative Regulatory Solutions has 1-10 employees
Answer: Alternative Regulatory Solutions is in Financial Services
Answer: Alternative Regulatory Solutions contact info: Phone number: +18********* Website: https://alternativereg.com
Answer: 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.
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