“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
Ready to become a broker-dealer? One of the first steps: Registering with the SEC and applying for membership with FINRA. Work with a compliance expert to gather and organize the necessary documentation, including the business plan, policies and procedures, education analysis and training plan, and all applicable FINRA forms (BD, U4 and BR), and so much more.
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.
The good news? COMPLY experts have decades of experience guiding broker dealers through registration.
“I love that the company has created a culture that solicits feedback to continually evolve the product to fit the customers’ needs. The support team is incredibly knowledgeable, and it shows!” – David Becker, CFIP
“COMPLY’s customer support has major advantages over our previous vendor. For a start, they are quicker to respond, they seem to understand the product better and they understand the industry better.” – Chase Eldredge, Angel Oak Capital Advisors
Integrated direct broker feeds from more than 300 brokerage firms and a robust data normalization process provide unrivaled information accuracy and dependability.
Ready to register as a broker-dealer? Schedule time to speak with an expert and learn more about how COMPLY can help you on your journey.
Download COMPLY’s Regulation Rundown for more information on the rules and regulations likely to impact firms over the next 12 months.
