GUIDANCE FOR THE
BROKER DEALER

Tom Selman, the founder of Scopus Financial Group, served as FINRA’s Executive Vice President for Regulatory Policy and its Legal Compliance Officer. Mr. Selman possesses a vast knowledge of the SEC and FINRA sales practice rules for broker-dealers and investment advisers, the Investment Company Act, and many aspects of the federal securities laws. Mr. Selman is a prolific author in leading law journals, a frequent guest commentator, and a popular speaker at regulatory conferences. The breadth of Mr. Selman’s expertise is simply unmatched.

Mr. Selman formed Scopus Financial Group to help broker-dealers fulfill their regulatory responsibilities while meeting their customers’ needs. With Scopus, broker-dealers navigate regulatory waters with confidence.

Scopus is an invaluable resource to the compliance-conscious broker-dealer. We deliver research that is customized to our client’s business. We stand ready to answer a client’s questions and we scope out information that is relevant to the broker-dealers we serve. Scopus is committed to a long-lasting relationship with our clients, built upon a deep understanding of their businesses and manifested by our delivery of professional services of the highest quality.