
OUR SERVICES
Securities regulatory consulting that suits your needs.
Lorraine Lee Consulting, LLC will offer its services at an hourly rate using the following categories. Rates will be discussed upon the initiation of a retainer or service agreement. *Fees vary depending on the scope of the project.
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Interpretive Guidance
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Statutory Disqualification Training
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Review drafts of prospective regulatory actions
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Perform regulatory analysis in order to make a statutory disqualification determination
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Determine statutory implications for individuals and firms
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Perform the analysis and review of a Membership Continuance Application filed with any self-regulatory organization
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Completion of a Member Continuance Application
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Review plans of heightened supervision
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Appear at statutory disqualification hearings on behalf of a client
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Prepare statutorily disqualified individual and/or firms for statutory disqualification examinations
Clients are provided the following:
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immediate and on-call guidance; and
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24/7 access to all services provided
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no excessive overhead costs
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