FINRA Broker-Dealer Membership Service
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.
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Register with Confidence
You are focused on starting your broker-dealer. We’ll be focused on making sure you’re compliant.
WITH CONFIDENCE.
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The Ultimate New Registration Toolkit
Download COMPLY’s Ultimate New Registration Toolkit for the guides and resources you need to start your registration journey.