Welcome to CAFA Compliance & FINOP Advisory!
ComplianceAFAComplianceAFAComplianceAFA
+1(516) 286-5064
charles@complianceafa.com
New York, United States
ComplianceAFAComplianceAFAComplianceAFA
Get a Quote

New Members Application

We give the best Services

Becoming a FINRA-registered broker-dealer is a complex process that requires detailed preparation, accurate filings, and ongoing communication with regulators. Our New Member Application (NMA) service helps firms successfully navigate the FINRA membership process from start to finish.

We work closely with your leadership team to prepare, submit, and manage your application — ensuring compliance with all regulatory requirements while positioning your firm for long-term success.

Our NMA Support Includes:

Application Preparation & Submission – Guidance in completing and filing the FINRA New Member Application, including all supporting documentation.
Business Plan Development – Assistance in drafting a compliant and compelling business plan that aligns with FINRA expectations.
Policies & Procedures – Creation of Written Supervisory Procedures (WSPs), compliance manuals, and other required documentation.
Financial & Net Capital Requirements – Support in preparing financial projections, demonstrating adequate net capital, and ensuring financial readiness.
Regulatory Liaison – Acting as your representative in communications with FINRA throughout the review process.
Mock Interviews & Preparation – Coaching and preparing your team for FINRA membership interviews.
theme-05
theme-01
theme-09
theme-07
Why Choose Our NMA Service?
  • Extensive experience guiding firms through the FINRA membership process
  • Tailored solutions that reflect your firm’s unique structure and goals
  • Reduced risk of delays or rejections due to incomplete or inaccurate submissions
  • Hands-on support from start to approval

With our New Member Application service, your firm can launch with confidence, knowing that every regulatory requirement has been addressed and every detail carefully managed.

Contact

  • Long Beach, New York, United States
  • +(516) 286-5064
  • charles@complianceafa.com

More Services

Explore our services to get more from us.

Outsourced CCO
FINRA Compliance

Archives

Categories

We understand the importance of approaching each work integrally and believe in the power of simple.

Melbourne, Australia
(Sat - Thursday)
(10am - 05 pm)
Contact us