Debra
M. Schaps is Vice President of the Broker/Dealer Division and a Senior Associate
of MGL Consulting Corporation. She has been with the firm eleven years and
her responsibilities include consulting with clients regarding registration
of their firm and its agents with FINRA, SEC, NFA, CFTC and various state
agencies. She oversees the annual renewal of client’s registrations
with FINRA, SEC, NFA, CFTC and various state agencies as a broker/dealer.
She is responsible for branch office filings and coordination of foreign
corporation filings on behalf of clients. She interfaces with accountants
on the filing requirements for annual financial audits with FINRA, SEC and
states. She oversees agent transfers and special registration situations
with FINRA/CRD and various state regulatory jurisdictions. She consults
with clients regarding operational issues and record keeping requirements
for their firms.Ms. Schaps coordinates with clients and FINRA staff members in various Districts to effect modifications to the firm’s Membership Agreements so as to properly address and or expand the business scopes of our clients. She is also responsible for the coordination of firm’s fidelity bond filings and renewal process.
Ms. Schaps attended Sam Houston State University where her area of study was Business Administration.