Securities Broker-Dealer FINRA Compliance Services

FINRA Rule 2310 and FINRA Regulatory Notice 10-22 make it pretty doggone clear that broker-dealers and investment advisors have a clear duty regarding due diligence investigations.  On Direct Participation Program (DPP) private placement offerings of securities owing to commercial real estate property operating businesses, the compliance burden gets to be quite onerous and yet the risk exposure for FINRA complaints only INVIZEN RTA Valuation Reportseems to be getting worse.  In today’s litigious securities environment, it pays to have a systemic approach to FINRA compliance that goes beyond just having something that hopefully lets you off the hook – you want something to transform this potential nightmare into a profit opportunity.

The INVIZEN suite of broker-dealer due diligence services represents a quantum leap forward and a technological advancement that has the potential to completely change the CRE finance vertical from end to end.  This is likely because INVIZEN offers the first and only complete end-to-end solution that is designed to transform loss risk exposure to the entirety of the investment fraud issue in a way that creates profit-taking opportunities for both buy-side and sell-side broker-dealer, RIA and asset management services.

The INVIZEN program is designed to create the opportunity for the broker-dealer to realize the following potential benefits:

  • Dramatic reduction of investment fraud claim risk exposure for CRE transactions of $2.5 million or more; and
  • RTU Technical Report Screen ShotComprehensive property valuation, feasibility analysis and underwriting analyses that happen in real-time to reduce turnaround time and create the opportunity to aggressively market and sell on both the buy-side and sell-side of the deal; and
  • Real-time investment performance assurance monitoring that virtually eliminates the risk of a bankruptcy petition or foreclosure being the result of an unforeseen liquidity crisis over the entire term of the investment (thus going a long, long way towards eliminating future claims because the losses aren’t there that would cause the claims to be made); and
  • Creation of a systemic opportunity to control an asset on a perpetual basis so that the buy-side opportunity for recapitalization, sale and/or redevelopment capital raises is preserved for the benefit of the broker-dealer; and
  • A compliance suite of services designed to please those finicky FINRA people and satisfy the letter and spirit of compliance monitoring on an ongoing basis.

Only INVIZEN can offer these potential benefits as part of a systemic solution of support services for broker-dealers seeking to take advantage of the evolving market opportunity in the CRE finance vertical and grab more market share, higher sales, and increased operating margins.  Best of all, INVIZEN is very affordable.  For a limited time INVIZEN is offering new broker-dealers the opportunity to have the cutting-edge analytics, analysis, underwriting reviews and associated services on a cost-free basis.

RTAF Summary Report Screen ShotThere is so much more to the INVIZEN Real-Time Status Asset Care Protection Program that INVIZEN was intentionally designed to support:

  • CRE Developers & Sponsors.  Developers and sponsors seeking capital financing have the advantage of a systemic solution that provides the support needed to increase the odds of a successful capital financing outcome that saves time, money and reduces their capital investment risk.
  • Investors & Lenders.  Investors and lenders seeking to participate in commercial real estate securities private placement offerings and other credit instruments have the advantage of a systemic solution that provides the highest practical investment performance assurance we can contrive.  INVIZEN gives investors and lenders the proactive investment loss severity risk prevention and monitoring they really need, but have never been able to obtain in the past.
  • Broker-Dealers & Registered Investment Advisors.  Securities broker-dealers and registered investment advisors on both the buy-side and sell-side of the transaction have the advantage of a reporting system that provides FINRA compliance support, protection from future investment fraud claims, increased transaction velocity and the opportunity to increase their operating margins – all in one package.  If your firm doesn’t have this approach, then you are still operating in an environment that will penalize your opportunity to profit and control costs.

Talk to an INVIZEN representative today for more info

Now you have no reason to not pick up the phone, unless you were one of those people who thought e-commerce, cell phones, the Internet, moon walks and automobiles would be giant market failures and things would never change.  Find out what the coming market disruption that INVIZEN represents could mean for your firm by calling us today at 832.663.9634.