Skip to content

Effective & Efficient. 

Your partner in Trading Operations and Compliance with

the first-hand knowledge and experience to achieve results.

What We Offer

We created this consulting firm to provide clients superior guidance and support in this ever-changing industry.  

With over 30+ years of combined experience, our consultants can help ease the regulatory burden placed on Broker Dealer and Investment Adviser firms in Trading Operations and Compliance. 

Experts to Talk to

Discuss compliance and operational challenges with our consultants, whether theoretical or practical.

Experts to Create Solutions

Our consultants work directly with your team to create specific regulatory solutions.

Experts to Help Implement Solutions

Our consultants can assist your team when the time comes to execute.

TRADEliance's Comment Letter - FINRA One-Minute Trade Reporting
TRADEliance's Comment Letter - MSRB One- Minute Trade Reporting
TRADEliance's Comment Letter - SEC Regulation Best Execution

Industry Stats

 

784 Total Enforcement Actions and $9.9 Billion in Penalties & Disgorgement 

Issued by the SEC in 2023

43 Rulemaking Initiatives 

On the SEC's Fall 2023 RegFlex Agenda

$48.1 Million in Fines and $6.4 Million in Disgorgements

Issued by FINRA in 2022

Learn More About How TRADEliance Can Help.