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Each firm has different needs.  TRADEliance has a solution to cater to yours.

Our consultants get it - they have dealt with the same issues your firm is facing.  Partnering with TRADEliance's consultants can provide you with the knowledgeable resources you need. 

Finally, your firm does not have to decide which fire to put out first.

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Custom Projects

Our Custom Projects are ideal for firms that need assistance with one-off projects, regardless of size, for both existing and new regulation.

Custom Projects allow clients to help dictate a fully customized project plan that fits their needs. 

Examples of Custom Projects include (but not limited to):

  • Testing current policies or processes
  • Creating or Implementing new policies or processes
  • Educating and training employees
  • Creating tailored checklists, guides, or resources
  • Completing Trade Confirmation reviews
  • Data testing for regulatory reporting
  • Conducting detailed system or process mapping exercises
  • Testing and verifying the accuracy of data used in firm systems, tools or reports
  • Validation of vendor data and/or reports

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Case Study Reports

Our custom Case Study Reports are perfect for firms that need additional information or a regulatory analysis to support business decisions.  These reports provide clients with the valuable insights and context they need to execute effectively. 

Examples of Case Study Reports include (but not limited to):

  • Regulatory considerations for existing processes
  • New or existing regulation review
  • Analysis of the various use case scenarios for a product or process
  • Policy, procedure or process frameworks that can be adapted for firm use

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Collaborative Solutions 

Our Collaborative Solutions provide you with an accessible, knowledgeable partner that can provide you with timely guidance. This retainer-based model allows you to choose the level of support you need within your budget.

Sometimes it is just not in the budget to hire additional employees – but that does not mean you don't need more help. TRADEliance can be your partner providing you with the resources to make more informed decisions and get work done more efficiently.

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Resource Guides

Our Resource Guides allow firms to leverage TRADEliance's knowledge and expertise without the need for a full engagement.  These can be helpful tools for firms to use to develop staff or processes.  Resource guides are a cost effective solution for firms that need job aides, checklists, educational materials or considerations to help enhance processes.  

Many of our Resource Guides can be purchased online.  Click the button below for more information.

TRADEliance experience includes (but is not limited to) the following initiatives:

   FINRA, SEC, and Federal Reserve Exams and Enforcement 

   Municipal Continuing Disclosure Initiative (15c2-12)

   Order Management Systems

   T+2/T+1 Settlement

   Trade Confirmation Reviews (10b-10 & MSRB G-15)

   Municipal Minimum Denominations (MSRB G-15)

   3120 and 206(4)-7 Testing

   Best Execution Reviews & Testing (FINRA 5310 & MSRB G-18)

   Fair Pricing Reviews & Testing (FINRA 2121 & MSRB G-30)

   Reasonableness of Compensation Reviews & Testing (FINRA 2121 & MSRB G-30)

   Reg NMS Rule 605 & Rule 606

   Exception Report Reviews


   Prevailing Market Price/Markup Disclosure (FINRA 2121, MSRB G-30, FINRA 2232 & MSRB G-15)

   Code of Ethics Management

   TRACE and MSRB Trade Reporting (MSRB G-14 & FINRA 6700)

   Municipal Securities Underwriting (MSRB G-11)

  Buy and Sell Side Compliance Program Management


   Client Data Oversight

   Policies and Procedures Creation

   Separately Managed Account Programs

   Time of Trade Disclosures (MSRB G-47)

   Outside Business Activities/Political                              Contributions/Gifts and Entertainment 

   FINRA 4210 Covered Agency Transactions