Broker-Dealer Registration Consulting Services – Starting a Broker-Dealer

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Ensure a smooth and efficient FINRA membership application process. We’ll help you navigate the complexities of broker-dealer registration.

Embark on Your Broker-Dealer Journey

Starting your own broker-dealer firm is a big achievement. It gives you the chance to offer important financial services, buy and sell securities, and create long-term relationships with clients. Launching a broker-dealer firm demonstrates your commitment to the financial industry and opens doors to new opportunities.

However, navigating the regulatory requirements and compliance standards can be daunting. Here are some key challenges to consider:

Regulatory Compliance: Understanding and complying with regulations set forth by regulatory organizations like the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) is essential for successful registration.

Business Model: A well defined and documented firm structure, continuity plan, operational procedures, policies and compliance program will be part of the application process and is essential for success.

Financial Requirements: Net capital calculations and funding requirements to ensure regulatory compliance.

Supervision and Compliance: Establishing and documenting supervisory systems and written supervisory procedures to monitor activities and ensure adherence to regulations.

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A Comprehensive Solution

Oyster Consulting offers comprehensive services to support you throughout the broker-dealer registration process. We have experience with FINRA and the SEC. Here’s how we can help:

Regulatory Compliance: Filling out and sending the form NMA, New Member Agreement to register with FINRA, making sure it is accurate and follows application guidelines.
Business Model: Creating a detailed business plan that outlines how your company will operate and comply with regulations.
Compliance and Supervision: Creating customized compliance policies to meet FINRA broker-dealer requirements, such as AML programs and record retention policies.
Financial Oversight: Guidance on review and process, net capital requirements, financial reporting, accounting statements and maintaining adequate financial records.
Documentation and Reporting: Continuous support and guidance to help your firm stay compliant and operational, from registration to ongoing compliance.

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Related Broker-Dealer Registration Services

Our consultants come from all areas of the industry and can assist with the following aspects of your application:

The Oyster Difference

Oyster Consulting stands out by providing comprehensive, personalized support with a keen understanding of regulatory frameworks for broker dealer firms. Our consultants have many years of experience in registration and finance as regulators and registration experts within FINRA and the SEC. We help you navigate the complexities of broker-dealer registration, ensuring compliance with all applicable rules and regulations.

Contact Oyster Consulting to explore how we can assist with your broker-dealer application forms, registration strategy, outsourcing and compliance needs. Start your journey with confidence and peace of mind, knowing you have a dedicated partner in Oyster Consulting.

Meet Our Consultants

Download Our Guide Starting Your Broker-Dealer Learn about registration and other requirements for broker-dealers, plus how to assess platforms and more in this guide.

Case Study

Challenge

Finding The Right Vendor

Firms often find that vendors fail to add value and become a source of frustration rather than support.

Solution

Industry Experts

Utilizing Oyster Consulting’s experienced and knowledgeable consultants transforms your vendors into valuable resources.

Outcome

Overall Growth

Our consultants have specialized skills to help your firm achieve its business goals, growth objectives and maintain a system of reasonable compliance.

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Read The Full Case Study

Discover how our expert consultants can drive your success—get the full case study and learn more about how to partner with the right vendor for your firm’s success.

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