Broker-Dealer Registration

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Comprehensive Broker-Dealer Registration Services

Registering a broker-dealer is a complex process. Regulatory Compliance has more than 20 years of experience in successfully managing FINRA New Membership Applications (NMAs) of all types of firms.

Turnkey SEC and FINRA Registration Services

From start to finish, Regulatory Compliance will execute every detail in the SEC and FINRA registration process of your broker-dealer. As specialists in broker-dealer registration, we know what to expect from regulators. Your registration success is our focus.

Regulatory Compliance provides numerous value-added services, such as business, financial and strategic planning to ensure a clear and concise application to FINRA.

Complete Broker-Dealer Registration Services

Regulatory Compliance offers comprehensive broker-dealer registration services, including:

  • Preparation and submission of numerous customized application documents through FINRA’s web-based portal (NMA)
  • Specialized business plan designed to address the requirements outlined in applicable membership rules
  • Customized written supervisory procedures manual and checklist
  • Customized training plan and continuing education checklist with needs analysis
  • Customized anti-money laundering procedures
  • Customized business continuity plan
  • Constant monitoring of your application status
  • Interface with FINRA and state examiners on requests for additional information
  • Super Account Administrator (SAA) Entitlements and establishment of entitlements to various FINRA systems
  • Completion of post-approval required filings, including firm contacts, electronic storage notifications, etc.

New Firm Books and Records Setup

Regulatory Compliance will be available to visit your firm to ensure documents and records are set up for smooth operation of your broker-dealer.

To learn more about any of our compliance services, click here or call toll-free (888) Reg-Comp (888) 734-2667.