Regardless of the size of your agency (sole proprietorship, bank-registered, large professional, issuer or third-party administrator), Dunn Consulting and Training has the experience to assist you with your compliance needs.
During my 21 year tenure as an SEC regulator, I examined or inspected every type of transfer agent from one-person sole proprietorships to large corporate organizations and banks. I am well attuned to the challenges and needs of each size agency.
Put my expertise to work for your benefit. My goal is to ensure that your agency stays in compliance with the federal securities laws while simultaneously maintaining an efficiently functioning operation.