BD New Member Application

Oyster knows the FINRA New Member Application process for Broker-Dealers can be intimidating.

Our team of registration experts you will review your business structure, plan and documentation to determine the best approach. We understand how to design practical and reasonable regulatory compliance programs. Take advantage of our experience and let our industry NMA experts turn one of your firm’s toughest challenges into a smooth process.

eBook

Download the Starting Your Broker-Dealer eBook to learn about registration, the benefits of outsourcing your CCO and FINOP roles, testing requirements and clearing platform assessment, selection, and conversion.

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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