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Trading & Market Making Compliance Daily Supervisory Reviews, Data Mining

Trading & Market Making Compliance Daily Supervisory Reviews, Data Mining

Trading & Market Making Compliance Daily Supervisory Reviews, Data MiningTrading & Market Making Compliance Daily Supervisory Reviews, Data MiningTrading & Market Making Compliance Daily Supervisory Reviews, Data Mining

Brian Fitzgerald is listed in the 

FINRA Compliance Vendor Directory 

Experience

With more than 35 years of experience in trading supervision, systems, and market making regulations, I am uniquely qualified to help equity trading firms meet their daily supervisory objectives.

Why Us?

My mission is to serve as your sentinel, scrutinizing the performance and accuracy of your trading operations and its systems. I work congruently with your Supervisors, helping to both expedite and evidence their regular and rigorous review process. My T+1 Supervisory Review picks-up where your OMS left-off by unifying reports with procedures. I will expand the scope and detail of your reviews, while reducing your typical review time to just a few minutes. I can also assist with data mining for regulatory reviews and help edit WSPs.

Contact Us

Drop us a line!

Fine Prevention By Brian Fitzgerald

Lake Placid, FL 33852

(561) 705-6838

Hours

Open today

08:00 am – 05:00 pm