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.

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