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.
- Proper fulfillment of all compliance requirements, taking an in-depth approach to keep the process moving with minimal delays
- Information and document organization on a firm’s behalf and with their collaboration, including the business plan, policies and procedures, education analysis and training plan, and all applicable FINRA forms (BD, U4 and BR)
- A liaison who will work with the firm and the FINRA examiner to review the application and respond to requests for additional information and documentation
