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.
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
NEW YORK
42 Broadway, Suite 12-129
New York, NY 10004
Telephone: 212-509-7800
FLORIDA
7000 W Palmetto Park Rd., Suite 503
Boca Raton, FL 33433
Telephone: 561-453-3800
*SOC 1 Type 2 certification only covers:
Fund Accounting, Administration and Investor Services.