NEW MEMBERSHIP APPLICATION & CONTINUING MEMBERSHIP APPLICATION

If you are creating a new broker-dealer or your firm is considering expanding, our team can help. We have been involved in many New Membership Applications and Continuing Membership Applications and can help guide you/your firm in the right direction when asked about Policies and Procedures, Finances, Internal Controls, AML Planning, etc. We also have considerable experience crafting NMA/CMA responses and communicating with FINRA in order to make the process as smooth as possible.