The managing directors at Mainstay Capital Consultants, Atlanta, Georgia, Thomas C. Prescott, Jr., David E. Paulukaitis and Kenneth E. Newman along with the project managers and consulting staff offer in-depth knowledge and expertise acquired during successful careers in the Division of Market Regulation and the Division of Enforcement of the Securities and Exchange Commission, FINRA, broker / dealers, registered investment companies, registered investment advisors and banks. Our consultancies are concentrated on broker / dealers, registered investment advisors, registered investment companies, hedge funds, insurance companies, banks, exchanges, regulators, foreign governments and law firms. The assistance we provide includes, but is not limited to: regulatory and compliance services; investment advisor registration process; FINRA membership process; financial reporting service; expert witness and litigation support services; outsourcing solutions and search and recruitment. Services offered to investment advisors & investment companies include regulatory and compliance services featuring advisory agreements, best execution reviews, business continuity plans, compliance procedures manuals, compliance training, due diligence / product reviews, outsourcing, regulatory examination support, SEC & state mock audits / exams, SEC filings and Form 13 F & Schedule 13G; plus registration services featuring IAR registration, IARD administration, IARD entitlements and SEC registration; plus additional services including due diligence, expert witness, litigation support, ongoing review of employee and proprietary trading and recruitment / executive search. Services offered to broker / dealers include regulatory and compliance services featuring advertising and website review, AML audit / independent testing, compliance procedures / manuals reviewed and customized, customer complaint review and form filing, mock regulatory examinations, recruitment / executive search, regulatory mandated independent consulting; plus registration services featuring FINRA new membership application, changes to membership applications (Rule 1017 application), CRD administration; plus financial reporting services featuring net capital and FOCUS filling assistance, FINOP services and financial reporting services; plus expert witness services, litigation support, due diligence for mergers and acquisitions and due diligence for mergers and acquisitions. Headquartered in Atlanta, Georgia, Mainstay's clientele is located throughout the United States and Canada. Additionally, many international concerns have sought our expertise with respect to a variety of capital markets initiatives.