Broker-Dealer Registration Services

    Starting a broker-dealer? Wondering how to register as a broker-dealer? We can help!

    Registering as a broker-dealer can be a complex, confusing, and time-consuming process. It is crucial to meet the registration and background requirements for principals and staff. 


    Our team of regulatory professionals with years of experience in broker-dealer membership filings are ready to help you through the entire registration process, including creating or providing guidance in the creation of documents for the application, preparing and filing the New Membership Application (NMA), CRD filings, preparation of  procedural manual, and interacting with The Financial Regulatory Authority (FINRA) throughout the process.

     

    Also, we offer support to current broker-dealers seeking to make changes in the ownership or business by assisting with the Change in Membership Application (CMA) with FINRA.


    Complete the form to learn why broker-dealers choose ACA for registration assistance.

    Broker-Dealers Registration Services

    The Securities & Exchange Commission (SEC) requires broker-dealers to become a member of a self-regulatory organization (SRO). To become a member of FINRA, broker-dealers are required to complete an NMA. The process and requirements to meet the Standard for Membership under FINRA rules and successfully complete an NMA can seem lengthy and overwhelming unless you have the experience to navigate the process. ACA can help! Our NMA package includes the following services and more:

     

    • Reserving the broker-dealer name with FINRA
    • Preparing and filing entitlement forms and Form BD
    • Completing Forms U4 for principals as required
    • Creating the business plan, compliance procedures, and other documents required for the application
    • Drafting and filing FINRA Form NMA
    • Preparing responses to FINRA’s request for additional information
    • Preparing principals for the membership interview with FINRA and attending the interview with the firm
    • Filing the application with the state where the main office and principals are  located
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    Ongoing Broker-Dealer Compliance Support

    We offer customized, comprehensive, and cost-effective compliance support solutions to broker-dealers. Our experienced professionals will  help ensure your firm’s broker-dealer regulatory and compliance obligations are fulfilled.

    Why ACA?

    ACA’s broker-dealer division can help implement sound compliance and supervisory programs that address appropriate FINRA and SEC regulations.

    Our broker dealer consultants have years of regulatory experience, professional designations, and Certified Anti-Money Laundering Specialists (CAMS) Certifications.

    If you are wondering how to become a broker dealer, our team will guide you through the registration process. Once approved, ACA can help ensure your firm’s broker-dealer regulatory and compliance obligations are fulfilled.

    Complete the form to learn why ACA is the premier partner for broker dealer consultant and registration assistance.