Registration

Oyster Consulting has multi-disciplined professionals who will provide you with the detailed knowledge and commitment you need to facilitate your firm’s registration with FINRA or the SEC.

Our consultants provide end-to-end service for RIA registration. We collaborate with your leadership to design a Policies and Procedures Manual that fits with your firm’s capabilities, leverages technology and streamlines processes. We will draft your Form ADV, helping you save time and avoid common mistakes. We also work with you to create a Code of Ethics that captures your firm’s culture while achieving compliance best practices.

For Broker-Dealers, we engage a full suite of professionals to usher you and your team through the FINRA New Member Application.

We understand how to design practical and reasonable regulatory compliance programs, and can help draft your Business Plan. Don’t go it alone – our industry NMA experts turn one of your firm’s toughest challenges into a smooth process.

Our Process

Step 01

Kickoff

Starting with key stakeholders and leadership, we make sure your project goals are understood and aligned to project deliverables.

Step 02

Plan

We customize your project timeline, scope and deliverables. We then translate these into key milestones for quality control and assurance.

Step 03

Execute

Oyster monitors and reinforces project goals while achieving project deliverables.

Step 04

Deliver

Whether it is ongoing consulting or project based, Oyster will deliver a quality product that encapsulates your goals and expectations