Registering your broker-dealer can be a complex process. Regulatory Compliance has more than 20 years of experience in successfully registering broker-dealers like yours.
Turnkey SEC and FINRA Registration Services
From start to finish, we 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. Your registration success is our focus. We provide 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
- Preparation and submission of application documents through FINRA’s web-based portal
- Specialized business plan
- Customized written supervisory procedures manual
- Customized needs analysis and training plan
- Customized AML procedures
- Customized business continuity plan
- Constant monitoring of your application status and interface with FINRA examiners
- Super Account Administrator (SAA) Entitlements
To learn more about any of our compliance services, contact us or call (603) 434-3594.