Partner with the compliance experts when registering with FINRA.
Starting-up a new broker-dealer with an effective compliance infrastructure from day one is an arduous task. Financial Industry Regulatory Authority (FINRA) membership does not come easily, but an experienced and expert partner like NRS can make the process smoother and less complex. Because completing the membership application and related documentation requires in-depth knowledge and many hours, only a handful of law firms or compliance companies even offer this service, and even fewer as long as NRS.
NRS Consultants will:
- Invest between 70 and 90 hours of consulting time with each client to ensure proper fulfillment of all compliance requirements. This in-depth approach keeps the process moving with minimal delays.
- Complete information and document gathering on your behalf and with your review, including: Business Plan, Written Supervisory Policies and Procedures, Continuing Education Needs Analysis and Training Plan, Principal Experience Narratives, Form BD and Form U4 and Form BR (for branch locations)
- After submitting the most complete application possible, NRS becomes a liaison between you and the FINRA examiner reviewing your application. We anticipate questions and requests for additional documents and respond quickly and accurately with a goal of final approval.
NRS registration services also include a subscription to NRS ComplianceGuardian™ which provides many of the documents and tools your firm needs to design, implement and maintain your compliance program.
For more information on Broker Dealer Registration, contact us today.