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Initial Broker Dealer Registration

Complete from start to finish, our registration services help establish your firm as a licensed Broker-Dealer.  With your input, our services include:

- - Initial telephone conference to gather information about you and your business plans
- - Obtaining IARD/CRD system entitlement
- - Drafting and submitting FINRA Form NMA
- - Drafting and submitting Form BD
- - Drafting and submission of U4s for each registered person
- - Written Supervisory Procedures Template and customization
- - Preparation of Written Supervisory Procedures checklist
- - Drafting of Organizational Chart
- - Draft New Member Assessment form
- - Prepare broker-dealer business plan
- - Draft Business Continuity Plan
- - Draft Firm Element Continuing Education Plan
- - Prepare 12 month projection of income and expenses
- - Registration of your broker-dealer in all required states 
- - Drafting and submitting registration cover letters with required responses to registration questions
- - Responding to requests for additional information
- - Monitoring of the approval process and advising when actual registration approval has been received
- - Preparation and submission of any other required documents

CMA Applications (change in business or ownership)

We provide complete services for applications to FINRA for approval of changes in ownership or services provided.  With your input, our services include:

- - Drafting and submitting pro forma Form BD
- - Written Supervisory Procedures Template and customization for new business activities
- - Preparation of Written Supervisory Procedures checklist
- - Prepare broker-dealer business plan
- - Amend Business Continuity Plan
- - Amend Firm Element Continuing Education Plan
- - Drafting of Organizational Chart
- - Preparation of 12 month projection of income and expenses
- - Preparation of New Product Review checklist
- - Drafting and submitting registration cover letters with required responses to registration questions
- - Responding to requests for additional information
- - Monitoring of the approval process and advising when actual registration approval has been received
- - Preparation and submission of any other required documents