Broker-Dealer Registration

Our team of professionals has decades of experience and expertise in navigating the Broker-Dealer registration process along with ongoing compliance requirements upon firm approval. All compliance, supervisory, control, and financial systems are customized and implemented along with the required books, records and documentation being securely maintained. 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.