Membership Benefits

We have hundreds of satisfied who rely on our programs for unparalleled training, educational materials and consultative services, but in the end what matters most is the TIME and MONEY they save by working with us.

It’s as simple as this. Our Members are individuals and small firms who understand the personal financial risk inherent in their line of work, but they don’t have the resources and background required to protect themselves effectively.

Imagine the benefits of:

Understanding the things you’re doing correctly, but learning how to do them with greater efficiency and less risk
Discovering where your knowledge and procedures should be improved, then taking quick, guided action before problems arise
Receiving guidance on preparing for litigation or arbitration, saving you hours of time, guesswork and frustration
Working with a highly-qualified securities litigator to help you achieve the best possible outcome

Save Time	Save Money	FA Risk Management Exclusive Benefit
✓ ✓	✓	Run your business with greater efficiency and less risk
✓ ✓ ✓	✓ ✓ ✓	Understand your vulnerabilities and minimize risk before there is trouble.
✓ ✓ ✓	✓ ✓ ✓	Recieve hands-on, guided instruction to address issues correctly
✓ ✓ ✓	✓ ✓ ✓	Partener with a discreet, hands-on risk management expert to prepare for litigation or arbitration
✓ ✓ ✓	✓ ✓ ✓	Use your risk management expert as a liason between you and your litigator to keep legal costs down.
✓ ✓ ✓	✓ ✓ ✓	Leverage our connections to secure an experienced securities litigator to negotiate a favorable outcome
	✓ ✓ ✓ ✓	*Get financial assistance to apply toward related litigation and arbitration expenses.

Take a look at our membership levels to find the solution that works best for you.

Protect Yourself

Learn more about our unmatched risk management benefits

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FINRA Rule Filings

SR-FINRA-2024-024

January 1st

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to implem…

SR-FINRA-2024-015

January 1st

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend Section 1 (General Information) of the Uniform A…

SEC Proposed Rules

Exemption for Certain Investment Advisers Operating Through the Internet

July 26th

Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers

July 26th

@FArisk12

January 1, 1970

via @

Testimonials

“I have had the opportunity to work with and use FA Risk Management. The FA Risk Mgmt team have proven to be of high integrity, and experts in the field of risk management and insurance. I am especially impressed with the time they spent consulting with me on this very important aspect of my business. I highly recommend them as they have been a valuable asset to my business.”
Daniel M Croke
Managing Member - Wholesale RES LLC