Broker-Dealer Services

Registration Services

Draft and file the Applicant’s Form BD
Draft and file the Applicant’s New Membership Application (Form NMA) with FINRA
Schedule qualification examinations for all registered representative candidates
Draft and submit FINRA entitlement forms that provide access to the online FINRA Gateway system
Draft and submit U-4 filings for each registered representative within the firm
Draft and submit NRF filings for all associated persons within the firm
Assist in preparing the Applicant’s business plan
Draft supervisory procedures manual
Develop and implement anti-money laundering (AML) policies and procedures
Preparation for the pre-membership interview
Perform continuing education needs analysis and create training plan
Develop business continuity plan
Prepare and submit state registration package(s)
Prepare continuing membership applications (CMA)
Prepare materiality consultations (MatCons)

Conduct FINRA and SEC mock examinations
Prepare Form U-4 and U-5 filings and amendments
Prepare Form BD and BR filings and amendments
State registration
Conduct AML audits/independent testing and review of AML procedures
Financial Crimes Enforcement Network (FINCEN) reviews
Conduct branch office programs and audits
Conduct annual compliance meeting
Business continuity plan creation and review
Customer complaint review and form filing
Provide annual registration renewal reminders and tracking
Update written supervisory procedures
Review of advertising and marketing materials
Inform the broker-dealer of changes in SEC and FINRA rules and regulations that may affect the broker-dealer’s business
Provide regulatory inquiry assistance
Assist with regulatory mandated consulting
Perform 3120/3130 supervisory controls assessments
Provide surveillance (e.g. personal trading, electronic communications)

Ad hoc review and analysis of the effectiveness and efficiency of AML programs
Ad hoc gap analysis review of business and compliance programs to determine broker-dealer’s supervisory control procedures identified by a risk assessment
Broker-dealer due diligence reviews (e.g. pre-change of ownership Continuing Membership Application)