Navigate the complex FINRA registration process with a trusted resource at your side every step of the way.
Open your new broker-dealer firm with an effective compliance infrastructure from day one. Financial Industry Regulatory Authority (FINRA) membership does not come easily, especially considering the in-depth knowledge and exhaustive effort that is required to complete the appropriate filings. COMPLY compliance professionals apply efficiency and knowledge to the process, guiding broker-dealers through registration and helping you establish your practice.
COMPLY has helped more than 1,000 broker-dealers file their membership application with FINRA and is your partner throughout the process. Ensure proper fulfillment of all compliance requirements with a dedicated compliance expert. We can help you every step of the way.
“The customer service at COMPLY is special. They are all extremely knowledgeable and friendly. I appreciate the team always allows me the opportunity to walk through the product and learn, so I can reduce the times I must reach out again in the future.” – Jackie Jacobs, VSS
“It is easy to see COMPLY has an appetite for growing their knowledge in their industry and improving upon their product, and I am happy and proud to be a partner.” – Michael Isaac, Stadion Money Management
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
You are focused on starting your broker-dealer. We’ll be focused on making sure you’re compliant.
Navigate the complex FINRA registration process with a trusted resource at your side every step of the way.
Navigate the complex FINRA registration process with a trusted resource at your side every step of the way.
Whether SEC or State, we have the expertise to guide you through the entire registration process – and get your firm set up for success.
Register your reps, track their requirements, maintain compliance. With the support of COMPLY’s team of experts.
From Form PF to Form 13F, your regulatory files are paramount to maintaining your regulatory standing. Enhance efficiency. Ensure effectiveness. With filings backed by COMPLY experts.
Download COMPLY’s Ultimate New Registration Toolkit for the guides and resources you need to start your registration journey.
