Compliance-by-Proxy, Inc. was established to help broker/dealers comply with  regulatory requirements, improve regulatory practices and develop strategies for handling investigations and examinations.

 Why choose Compliance-by-Proxy?

• Experience:  We understand both the regulatory process and the day-to-day realities of managing a broker/dealer

• Customized Services: Our compliance packages, written procedures reflect your needs, your business

•  Affordable: Our rates are designed to make regulatory compliance affordable for small broker dealers