NEW MEMBER APPLICATIONS
Support for your Firm’s FINRA membership application.
Establishing a broker-dealer requires a clear plan for how the business will operate, be supervised, and meet its financial and regulatory responsibilities. We help Firms navigate the FINRA New Member Application process from preparation through regulatory review.
HOW WE CAN HELP
From business plan to FINRA review.
01
Understand the proposed business
Work through your proposed activities, personnel, supervisory structure, operations, and financial needs to establish a clear foundation for the application.
02
Prepare application materials
Develop and organize the business plan, financial information, organizational materials, and other documentation needed to support the application.
03
Develop compliance procedures
Prepare WSPs, AML procedures, and other compliance policies that reflect the business your Firm intends to conduct.
04
Support the FINRA review process
Help prepare responses to FINRA questions and requests, update application materials, and keep the process organized as the review progresses.
IS THIS THE RIGHT FIT?
Prepare a clear, consistent application.
For businesses preparing to apply for FINRA membership and looking for experienced support throughout the process, we tailor our involvement to the proposed Firm and its business.
We help bring the business, compliance, financial, and operational pieces together so the application presents a clear and consistent picture of how the Firm intends to operate.
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