Broker-Dealer Registration

Open your new broker dealer firm with an effective compliance infrastructure from day one. Financial Industry Regulatory Authority (FINRA) membership does not come easily, especially considering the in-depth knowledge and exhaustive effort that is required to complete the appropriate filings.

NRS compliance professionals apply efficiency and knowledge to the process, guiding broker dealers through registration and helping you establish your practice. Rely on NRS for:

  • Proper fulfillment of all compliance requirements, taking an in-depth approach to keep the process moving with minimal delays,
  • Information and document organization on a firm’s behalf and with their collaboration, including the business plan, policies and procedures, education analysis and training plan, and all applicable FINRA forms (BD, U4 and BR),
  • A liaison who will work with the firm and the FINRA examiner to review the application and respond to requests for additional information and documentation, and
  • Access to NRS ComplianceGuardian™ that provides broker dealers with the tools required to design, implement and maintain an ongoing compliance program.