Protecting Your Business
NEXT’s collaborative culture allows financial professionals to maintain positive and constructive relationships with our compliance team. In fact, NEXT created its own internal Compliance Advisory Board, made up of top financial professionals, to work with the compliance department so that we can have a better understanding of the effects regulations have on your business and develop more efficient means of communicating and implementing regulatory rules and guidelines.
Our Compliance specialists can help you with:
- Advertising Approvals (48-72 hour turnaround on average)
- Branch Reviews
- Firm Element Continuing Education
- Going Paperless
- Licensing
- Outside Business Activities
- Investment Advisory Services
