Broker-Dealer Registration

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.
insider trading

Learn more about how we support financial services firms' global regulatory, operational and governance needs.

Greyline is pleased to announce that we have made the short list for the 2021 HFM U.S. Service Awards in the Best Advisory Firm and Best Technology Firm – Newcomer categories. The award winners will be announced on September 22.