Under the scope of setting up a new broker-dealer and applying for membership, Greyline will manage and facilitate the entire new membership application (NMA) process in accordance with FINRA, including:
- Individual and broker-dealer filing with the SEC, FINRA and state SROs.
- Assistance in completion of all registration documents, including Form BD, Form NMA, business plan and submission of supporting documents.
- Preparation of your firm’s written supervisory procedures, supervisory control procedures and anti-money laundering procedures.
- Liaison services between your firm and the regulators.
- Initial setup of compliance program.
Looking for assistance with a new membership application? Contact Greyline for assistance with the registration process.