Broker-Dealer Registration Consulting Services

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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 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 Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) regulations is essential for successful registration.

Business Model: Understanding your company’s ownership, operations, and compliance with industry regulations is essential for success.

Financial Requirements: Meeting net capital and funding requirements to ensure financial stability and regulatory compliance.

Supervision and Compliance: Establishing robust supervisory systems and written procedures to monitor activities and ensure adherence to regulations.
Documentation and Reporting: Drafting comprehensive documents such as a Business Plan, Written Supervisory Procedures, and compliance manuals.

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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 New Member Application 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 net capital requirements, financial reporting, 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 brokerage firms. Our consultants have many years of experience in 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 registration 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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