Broker-Dealer Advisory Services
Leveraging in-house broker-dealer experience and substantial collective experience in the trenches of compliance and litigation matters, we provide proactive, advisory counsel to broker-dealers to guide these firms through the business’ full life cycle, from the early moments of formation and registration with FINRA. We help newly-established entities develop robust operations that ensure compliance with the myriad of regulatory authorities.
Our services are comprehensive. At the outset, we are able to offer guidance on the "new membership application" process. In conjunction with the NMA process, we will assist in the preparation and filing of various documents required by FINRA, including:
- Form BD
- Entitlement documents
- Forms U4 or U5
- Business Plan
- Written Supervisory Procedures
- Surety Bond Acquisition
- Anti-Money Laundering Procedures
- Business Continuity Plan
- Firm Element/Continuing Education Manual
Upon filing the requisite documents with FINRA, we will serve as your advocate during the pre-membership interview process.