Broker-Dealer Registration

Compliance Solutions Group can assist you with all of your Broker-Dealer registration needs. Whether you are stating a new Broker-Dealer or changing an existing broker-dealer, CSG has the expertise and experience needed to keep the this extremely complex process organized and efficient.

CSG can handle as little or as much of this process as you need.  Such services provided by CSG in relation to the registration of a broker-dealer include (but are not limited to):

  • Complete all registration forms.
  • Coordinate New Member Application (NMA) or Change of Member Application (CMA) with FINRA (District and Washington Offices).
  • Complete and Submit Applicable filings with FINRA and States.
  • File FIN # application.
  • File Lost & Stolen Securities Program application.
  • Research Clearing Firm and assist in relationship implementation.
  • Prepare Un-Audited Financial Statements.
  • File Financial Statements with applicable jurisdictions.
  • Prepare Net Capital Computation.
  • Prepare Written Supervisory Procedures Manual.
  • Prepare Anti-Money Laundering Program.
  • Conduct and Prepare Continuing Education Needs Analysis and Training Plan.
  • Recruiting, Office Set-Up and Business Expansion.