FINRA Broker-Dealer Membership Service

Guidance Every Step of the Way

COMPLY has assisted 1,000+ broker-dealers in securing FINRA membership. Our experts help you fulfill compliance requirements efficiently — minimizing delays and ensuring a smooth registration process.  

Forms and Documents

We handle the compliance –heavy lifting so you can focus on your business. Rely on COMPLY for: 

• New Member Applications (NMA) and Continuing Membership Applications (CMA) 
• Business plans, written supervisory procedures, and training plans 
• Filing key forms (BD, U4, BR) 
• Liaising with FINRA examiners and responding to inquiries 

Post-Approval Compliance

Approval is just the beginning — regulators expect full compliance from day one. COMPLY provides on-going compliance support, ensuring your firm remains compliant while you grow your business. 

DIRECT BROKER FEEDS

Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.

DATA INTEROPERABILITY AND APIs

Powerful integration capabilities facilitate data connections between our platform and other industry-leading solutions, enhancing communications, increasing efficiency, and providing a seamless customer experience.

EDUCATION

Decades of regulatory expertise power COMPLY’s premier compliance education programs. With courses designed for CCOs, IARs, and more, COMPLY empowers our clients to elevate their program and their career…raising the standard of regulatory compliance across the industry.

SOLUTION AND SERVICE INNOVATION

Incorporating direct feedback from COMPLY’s portfolio of firms, we continuously implement the enhancements that matter most to our clients. We go beyond technology to offer a breadth of services and solutions designed to meet our clients’ unique needs and challenges, including digital asset trade monitoring, compliance program management, consulting services, compliance education, and more.

REGULATORY EXPERTISE

The COMPLY team is comprised of former CCOs, former regulators, and experienced lawyers. We understand the challenges you face because we’ve been there. Our deep bench of industry expertise – which includes expansive knowledge in technology enablement and regulatory compliance protocols and processes – supports more than 7,000 clients.

AWARD-WINNING CUSTOMER SERVICE

Let us be an extension of your back office and provide support from our dedicated subject matter experts when you need it most. Customer support is available 24/5.