Doo Compliance delivers institutional-grade compliance programs for broker-dealers, investment banks, registered investment advisers, and public companies — across FINRA, SEC, Nasdaq, and FinCEN frameworks.
FINRA-registered broker-dealers face a demanding supervisory and examination environment. We build compliance programs that hold on day one of an exam — from WSPs through AML and Reg BI implementation.
Learn More →M&A advisory, capital markets, and underwriting operations require specialized compliance infrastructure. We address information barriers, Rule 5110 compensation compliance, and research independence obligations.
Learn More →SEC and state-registered advisers navigate the marketing rule, fiduciary standards, custody obligations, and annual review requirements. We provide CCO-level oversight without the overhead of a full-time hire.
Learn More →Nasdaq and NYSE listed companies must maintain ongoing listing standards, SOX governance requirements, Section 16 reporting, and Regulation FD compliance. We keep governance programs current and defensible.
Learn More →We do not operate a volume compliance practice. Every engagement receives senior-level attention, every program is built to withstand examination scrutiny from day one.
Every compliance program we build is designed around what a FINRA or SEC examiner will actually look for. We start with the examination lens and work backward — so you are never caught unprepared.
Our clients receive CCO-level regulatory expertise and institutional depth at a fraction of the cost of a full-time senior compliance hire. We are your outsourced compliance department — without the overhead.
Our assessments reflect what the rules require — not what is convenient. Our independence is the product you are paying for. Every conclusion we reach, we can defend in front of a regulator.
FINRA's 2025 exam priorities signal heightened focus on AML beneficial ownership gaps, Reg BI care obligation documentation, and cybersecurity governance.
The SEC's enforcement posture on Reg BI has sharpened. Care obligation failures, conflict of interest disclosure gaps, and Form CRS deficiencies are drawing formal action.
FINRA Rule 3310(c) requires independent testing — but what independence actually means, who can perform it, and what scope is required are frequently misunderstood.
Our team works with regulated institutions at every stage — from initial program build to ongoing oversight and exam preparation.
