Broker-Dealer Registration

Our team of professionals has decades of experience and expertise in Broker-Dealer registration and ongoing compliance upon firm approval. All compliance, supervisory, control, and financial systems are customized and implemented along with the required books, records and documentation. We assist clients with the preparation and filing of documents required by FINRA, SEC, NFA, CFTC, regional exchanges and state regulatory agencies. For companies wishing to become members of FINRA, regional exchanges or the NFA, we help procure the timely submission of completed applications such as FINRA’s New Member Application or Continuing Member Application. After doing so, we have the expertise to help expedite the approval process through the maze of regulatory bureaucracy.

Broker-Dealer Registration
Solutions Include:
  • Registrations and licensing

  • New Member Applications

  • Continuing Membership Applications

  • Written Supervisory Procedures, AML Procedures, Compliance manuals, Disclosures and Form Preparation, Filing

  • Business Continuity Plans

  • Continuing Education Plans

  • Interface with regulatory examiners and coordinators

  • Responses to information requests and other inquiries

  • Exam preparation