Alternative Regulatory Solutions
Outsourced compliance for broker-dealers, municipal advisors and RIAs.
Outsourced compliance for broker-dealers, municipal advisors and RIAs.
- Min project size
- Custom quote required
- Employees
- 1–10
- Locations
- Roseland, New Jersey, United States
- Year founded
- Founded 2009
Estimated regulated-industry mix
- Online Trading & Prop Firms40%
- Other60%
Meet the Team
Alternative Regulatory Solutions provides regulatory registrations, supervisory procedures, surveillance, AML testing, training, examination support and ongoing compliance services for U.S. securities firms. The company is headquartered in Roseland, New Jersey, United States. Its team brings together expertise in Broker-Dealer Registration, Broker-Dealer Supervision, Broker-Dealer Annual Review, AML, Financial Crime Surveillance, and Trade Surveillance to support clients through structuring, licensing, implementation, compliance, and ongoing administration.
Founded ARS after a senior fixed-income and municipal compliance career spanning major banks and broker-dealers.
Leads daily compliance support and fixed-income regulatory infrastructure for ARS clients.
Oversees surveillance programmes and brings more than 35 years across compliance, risk management and audit.
Guides clients through regulatory risk and helps build sustainable surveillance and compliance frameworks.
Pricing Snapshot
Pricing is tailored to the scope, jurisdiction, complexity and delivery model.
Preparation and submission of FINRA new member and continuing member applications for broker-dealers.
- NMA
- CMA
- Business plan
- Supervisory structure
- Documents
- FINRA responses
Pricing is tailored to the scope, jurisdiction, complexity and delivery model.
Pricing may vary by scope, market, media spend, and third-party costs. Data was sourced from public materials or confirmed by the vendor.
Connect with a CobraSight advisor today
Skip the broad vendor search. CobraSight connects you with proven providers who understand your industry, goals, and regulatory environment.
If you're not seeing exactly what you need here, send this company a custom message about your project needs, budget, and timeline.