Broker-Dealer FINRA New Member Application

What is FINRA Broker-Dealer registration?

In order to become a registered Broker-Dealer, you must be registered with FINRA. Applying for this membership is an extensive process with multiple steps.

Learn more about the registration process

The FINRA New Member Application process for Broker-Dealers can be intimidating

We have successfully guided many new Broker-Dealers through the process, from start-ups to complex organizations.

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

Discover

We listen to your goals and priorities. We create transformative change by inviting a two-way discussion.

Step 02

Plan

We customize your project by creating a scope and timeline to deliver the best experience for your team.

Step 03

Implement

Oyster maintains consistent communication to monitor and reinforce project goals while completing project deliverables.

Step 04

Deliver

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