welcome to security resource professionals

securities firms are faced with the daily task of balancing the need for lower overhead and higher profitability while maintaining an effective compliance program.

securities resource professionals (srp) enables firms to increase their compliance efforts without increasing their compliance staff. the industry experience, as well as, regulatory experience of srp's professionals allows you the freedom to focus on productivity and product selection and avoid the expense of a large compliance staff.

in today's rapidly changing environment, that's a real competitive advantage!

rule 3013 deadline approaches
is your annual certification of compliance and supervisory processes deadline may be approaching? securities resource professionals is ready to assist firms to meet the mandates required for this rule.

contact srp for more information
2009 monthly and fifth* focus ii/iia filings
january 31, 2009 february 25, 2009
february 28, 2009 march 24, 2009

2008 quarterly focus part ii/iia filings
quarter ending due date
december 31, 2008 january 27, 2009
march 31, 2009 april 24, 2009




2008 annual audit filings due dates
period end due date
november 30, 2008 january 29, 2009
december 31, 2008 march 2, 2009

 

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