shutterstock_143231788Our team of professionals has decades of experience and expertise in Broker-Dealer registration and ongoing compliance once a firm has been approved. 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 those that wish to become members of FINRA, regional exchanges or the NFA, we assist in accomplishing the timely submission of completed applications such as FINRA’s New Member Application or Continuing Member Application. After doing so, we know how to expedite the approval process through the gauntlet of the regulatory bureaucracies.

 

Services in this area include:

  • Registrations and licensing
  • New Member Applications
  • Continuing Membership Applications
  • Written Supervisory Procedures and other compliance manuals, including AML compliance
  • Business Continuity Plans
  • Continuing Education Plans
  • Interface with regulatory examiners and coordinators
  • Responses to information requests and other inquiries
  • Exam preparation

 

top
Share This