SEC Compliance Consultants, Inc.

SEC Compliance Consultants, Inc. (SEC³) helps organizations bridge the SEC compliance knowledge gap.  SEC³ is a regulatory compliance consulting firm serving investment advisers, private funds, investment companies, broker-dealers and CPOs and CTAs since 2003.  SEC³ specializes in SEC, FINRA, CFTC, NFA and other securities regulations. 

Our team has over 100 years of combined experience in investment management regulation and compliance. Our professionals have served as SEC regulators, chief compliance officers, experienced securities attorneys and senior management of investment advisers, broker-dealers and fund administrators.

For more information about our services, please visit www.sec3compliance.com or contact us at info@sec3compliance.com.