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
2007 Monthly and Fifth* Focus II/IIA Filings
January 31, 2007 February 26, 2007
February 28, 2007 March 23, 2007

2007 Quarterly FOCUS Part II/IIA Filings
Quarter Ending Due Date
March 31, 2007 April 25, 2007
June 30, 2007 July 25, 2007


2007 Monthly and Fifth* Focus II/IIA Filings
April 30, 2007 May 23, 2007
May 31, 2007 June 25, 2007


2007 Quarterly FOCUS Part II/IIA Filings
Quarter Ending Due Date
March 31, 2007 April 25, 2007
June 30, 2007 July 25, 2007


2007 Annual Audit Filings Due Dates
Period End Due Date
February 28, 2007 April 30, 2007
March 31, 2007 May 30, 2007

 

Home | About SRP |Services | Solutions | Resources | Contact Us

Copyright © 2000-2007 Securities Resource Professionals. All Rights Reserved.| Privacy Policy