SEC, FINRA Registrations and State Registration
Broker Dealer Services from Regulatory Compliance include:
Let Regulatory Compliance handle your FINRA broker-dealer
and state registrations.
Broker Dealer Registrations:
Broker Dealer Start-up is a painstaking, time-consuming process with no margin for error. Broker Dealer Compliance Solutions provides complete turnkey Broker Dealer registration from start to finish. A specialist in Broker Dealer registrations - what better way to deal with the complexities of FINRA member registration than to have Broker Dealer Compliance handle this project for you?
Broker Dealer Registration service includes:
• SEC & FINRA Registration
• Home State Registration
• Original Form BD
• Specialized Business Plan
• Customized Written Supervisory Procedures Manual
• Customized Needs Analysis and Training Plan
• Customized Anti-Money Laundering Procedures
• Customized Business Continuity Plan
• Form U-4's filed for Principals
• FINRA approved fingerprint cards for each registered person
• Preparation of all required FINRA District application documents
• Follow-up response letters
• All communications with the FINRA throughout the Broker Dealer Registration process
Every new Broker Dealer is unique - including yours. Knowing what to expect from the FINRA is our staff's job: let us share our knowledge. Broker Dealer Compliance's Broker Dealer registration service will ensure your registration success.
Note: For more detailed information, see our booklet, "New Broker-Dealer Start-up and Costs," available upon request.
Broker Dealer State Registrations:
Broker Dealer Compliance provides registration of your securities Broker Dealer in all states, and the consulting to make this complex procedure as efficient as possible. The requirements for Broker Dealer registration vary from state to state. Let the experts work through this process for you ensuring professional and accurate Broker Dealer state registration. Contact us for a quote as each state varies.
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