Broker-dealer compliance intake that flags regulator deadlines up
The intake asks whether the enquiry comes from a broker-dealer or registered rep, whether a regulator has opened an exam or investigation, and whether a deadline falls within 30 days — then collects the regulator's letters or case number so you see the details before agreeing to a consultation.
The exact intake your broker-dealer compliance leads complete
This is the real 7-question guided intake for Broker-Dealer Compliance — the same flow your customers finish before you ever pick up the phone.
What a qualified broker-dealer compliance lead should tell you
Legal representation for broker-dealers, their officers, compliance staff, or registered representatives on FINRA, SEC, or state regulatory matters — from supervision and recordkeeping policy to active exams, inquiries, or enforcement actions. The intake exists to separate firm-side compliance and regulatory-defense matters from customers pursuing personal investment-loss recovery.
- Contacting Us On Behalf
- Issue Mainly About Following
- Dealing With Exam, Inquiry,
- Have Upcoming Deadline (
- Identify Firm And Regulator
- Matter Related Events In
- Seeking Help With Compliance,
The questions your team needs answered
Every broker-dealer compliance intake asks these — and why each one matters.
| Question | Why it matters |
|---|---|
| Are you contacting us on behalf of a broker-dealer, investment firm, or a person who works for one (for example, an owner, officer, compliance staff, or registered representative)? | Identifies whether the contact is firm-side (owner, officer, compliance staff, or rep) versus a customer, which is the primary driver of fit for this practice area. |
| Is your issue mainly about following or meeting rules from FINRA, the SEC, or a state securities regulator (for example, supervision, policies, licensing, recordkeeping, advertising, AML, or customer complaints)? | Confirms the issue is actually a regulatory rules matter — supervision, licensing, recordkeeping, AML, or complaints — rather than something outside broker-dealer compliance scope. |
| Are you dealing with an exam, inquiry, investigation, notice, or enforcement action from FINRA, the SEC, or a state regulator? | An active exam, inquiry, or enforcement action materially raises both urgency and the value of the lead compared to a general policy question. |
| Do you have an upcoming deadline (for example, to respond to a regulator, produce documents, or attend an interview or hearing) within the next 30 days? | A deadline inside 30 days signals the matter needs consultation time booked quickly rather than handled as routine follow-up. |
| Can you identify the firm and regulator involved (for example, the broker-dealer name and FINRA/SEC/state agency) and provide any letters, emails, or case numbers you received? | Whether the firm and regulator can be named and documented affects how much can be assessed before the consultation even begins. |
| Is the matter related to events in the United States or to a U.S.-registered broker-dealer or U.S.-licensed representative? | Matters tied to non-U.S. broker-dealers or events outside the U.S. typically fall outside this practice's jurisdiction, so it's treated as a lower-fit signal. |
| Are you seeking help with compliance, responding to regulators, or reducing business or licensing risk (rather than only trying to recover personal investment losses as a customer)? | Separates business or licensing-risk matters from customers only seeking personal investment loss recovery, which this practice does not take on. |
How Cliont scores broker-dealer compliance leads
Every answer is weighted automatically — no manual review required.
Value signals
- Contacting Us On Behalf: yes
- Issue Mainly About Following: yes
- Dealing With Exam, Inquiry,: yes
- Have Upcoming Deadline (: yes
- Identify Firm And Regulator: yes
- Matter Related Events In: yes
See the lead your team receives
Broker-Dealer Compliance Lead
From first click to qualified lead
Follow people and businesses seeking counsel through one smooth, guided flow.
They land & meet you
Your video greeting plays instantly — a real face instead of a blank form.
They explain the matter
Smart questions adapt to their matter and capture the full scope.
They share the documents
The facts, dates, and any paperwork come attached, so you can assess the matter before the consultation.
You get a ready lead
Scored and qualified — waiting for you to win it.
Built for broker-dealer compliance workflows
| Cliont capability | Broker-Dealer Compliance application |
|---|---|
| Weighted conditional scoring | Answers confirming firm/rep status and compliance intent (rather than personal loss recovery) carry more scoring weight than jurisdiction or documentation questions, so genuine firm-side matters outrank consumer complaints. |
| Document capture on intake | The form prompts for regulator letters, emails, or case numbers tied to the identification question, so counsel can see the actual notice before the first conversation. |
| Deadline-based prioritization | A 'yes' on the 30-day deadline question is surfaced separately so exam responses due soon are visible ahead of routine policy questions in your queue. |
| CRM routing with pre-filled fields | Qualified matters with an identifiable firm, regulator, and deadline push straight to your CRM with those details already populated for the intake record. |
Common broker-dealer compliance lead scenarios
Active FINRA exam, deadline days away
The firm confirms an open exam or investigation with a response due inside 30 days and can name the regulator involved — this combination scores highest and routes for prompt review.
Routine supervision policy review
A compliance officer wants help meeting FINRA supervision, recordkeeping, or AML rules with no active exam or deadline — still qualified, just lower urgency than a live investigation.
Customer chasing investment losses
The prospective client answers no to seeking compliance help and is instead trying to recover personal trading losses — the intake flags this as outside the practice's scope rather than a firm-side matter.
Rep can't yet name firm or regulator
A registered representative received a notice but hasn't identified the firm, regulator, or supporting documents — the lead still passes through but is flagged for follow-up to confirm details.
Matter tied to a non-U.S. broker-dealer
The firm or representative isn't U.S.-registered and the events didn't occur in the U.S. — a lower-fit signal that lets you triage the enquiry before offering consultation time.
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More securities law intake templates
Broker-Dealer Compliance lead-intake FAQs
How does the intake separate a firm needing compliance help from a customer trying to recover losses?
It asks whether the person contacting you works for a broker-dealer or investment firm and whether they're seeking compliance or regulatory help rather than personal investment loss recovery — those two answers together determine fit for this practice area.
What happens if the prospective client doesn't know the FINRA case number or regulator's name yet?
The intake still accepts a 'no' on identifying the firm and regulator; the lead isn't disqualified, but it's flagged so you know less documentation is available before the consultation.
Can the intake surface a time-sensitive regulatory deadline?
Yes — it directly asks whether a response, document production, interview, or hearing deadline falls within the next 30 days, which raises the lead's priority.
Does the intake screen out matters outside U.S. jurisdiction?
It asks whether the matter relates to U.S. events or a U.S.-registered broker-dealer or U.S.-licensed representative; a 'no' answer is treated as a lower-fit signal you can weigh before booking time.
How is this different from the FINRA Enforcement and Arbitration intake?
This intake covers ongoing rule adherence — supervision, licensing, recordkeeping, advertising, and AML — including exams or inquiries; if a matter has escalated into a formal enforcement or arbitration proceeding, the FINRA Enforcement and Arbitration subservice intake is built for that stage specifically.
Turn broker-dealer compliance visitors into qualified cases
Give every broker-dealer compliance visitor a guided intake instead of a dead contact form — and get a scored, qualified lead before you book a consultation.