| Broker-Dealer Formation | ||
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Remember The Big Picture |
You don't have to bear it alone. |
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| Broker-Dealer Formation | ||
With the advent of Form NMA, FINRA has greatly expanded the amount and detail of information that is required to complete the New Member Application Process. With our assistance, the challenge of providing the required information in a form acceptable to the regulators becomes much easier and more accomplishable then ever before. Business Plans, Financial Projections, Business Models and supervisory systems and procedures are all part of our turnkey package for forming new broker-dealers. Our personnel are with you throughout the process including the pre-membership interview and all intermediate responses. |
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| Once approved, we are available for continuous assistance with membership matters including the Continuing Membership Application Process for amending membership agreements as a result of significant business changes. We can provide you with all the necessary technical assistance and navigating the FINRA 1017 process. | ||
| We can provide your firm with a complete CRD service bureau for processing FORM BR, Form U-4, and FORM U-5 applications and amendments. | ||
| Call us to discuss your particular needs. | ||