The Dually Registered Guide to Compliance Testing

Two Rulebooks. One Compliance Program. No Room for Gaps.

Learn how to build a testing program that satisfies FINRA and SEC examiners – and doesn’t collapse under its own complexity.

If you’re leading compliance at a dually registered firm, you know the drill: FINRA wants evidence of supervision, the SEC demands fiduciary oversight – and both expect a testing program that works in real life, not just on paper. 

This guide helps you: 

• Test across both regimes – Reg BI, Form CRS, P&Ps, WSPs, AML, and more 
• Avoid redundancy while still meeting diverging requirements 
• Document, escalate, and remediate in ways that stand up to scrutiny 
• Turn your testing process into a living, auditable record of oversight 

Whether you’re doing it all yourself or managing a team, this guide gives you the structure to unify your efforts and lead with confidence.