Initial FINRA Member Applications: Leveraging our regulatory expertise and experience, we guide you through the FINRA business planning and membership filing procedures. This includes preparation of the written supervisory procedures manual, continuing education needs analysis as well as business plan and follow up implementation services upon approval of the Broker/Dealer registration.
Continuing Membership Applications: We assist firms with required regulatory approval due to membership changes. These might include changes to ownership relative to mergers and acquisitions; operational changes concerning net capital customer protection provisions or additions of products or services lines, branches and representatives.
State Applications: Our expertise in state registration for firms and individuals includes the filing and monitoring of applications with state regulatory agencies in an effective manner. We act as your representative for any State inquiries or issues.
Form BD & Form BR Amendments: We prepare Form BD and Form BR filings when changes in disclosures are required pertaining to officers, business or other reportable matters.