CONTINUING MEMBERSHIP APPLICATIONS & FINRA FILINGS
Guidance as your business changes and filing needs arise.
Changes to an existing broker-dealer can create new application, filing, and compliance responsibilities. We help Firms evaluate what may be required, prepare the appropriate materials, and navigate the FINRA review process.
HOW WE CAN HELP
Plan, prepare, and manage your filings.
01
Continuing membership applications
Prepare and coordinate CMA materials for business changes that require FINRA approval.
02
FINRA filings
Prepare and submit applicable FINRA filings and help address filing-related questions and requirements.
03
Supporting documentation
Develop business descriptions, financial information, organizational materials, and updated compliance procedures needed to support the filing or application.
04
Regulatory review & responses
Respond to FINRA questions and requests, coordinate supplemental materials, and help move the application or filing through the review process.
IS THIS THE RIGHT FIT?
Navigate the requirements behind your business change
For existing broker-dealers planning business changes or seeking help with FINRA applications and filings, we tailor our involvement to the situation and your Firm’s needs.
We help identify the regulatory implications of the proposed change, organize the required materials, and coordinate the process from preparation through regulatory review.
LET’S TALK
What’s next for your Firm?
COMPLIANCE & FINOP ADVISORY
Experience behind every next step.
Practical compliance and financial operations support for broker-dealers.
SERVICES
GET IN TOUCH
Charles@complianceafa.com
(516) 286-5064
Long Beach, New York