Broker-Dealers

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Creating and maintaining an effective broker dealer compliance program can be a complex, difficult task given the ever-changing regulatory environment

ComplianceNow has helped numerous firms reach their full business potential by identifying potential risks for compliance violations, and providing information and training on applicable FINRA and SEC regulations.

ComplianceNow has been providing comprehensive registration services to organizations seeking to form a new broker-dealer, acquire an existing broker-dealer or expand the business activities of an existing broker-dealer. Our team of experienced professionals can help your organization understand and navigate the regulatory landscape.

We will consult with you on how best to become a broker dealer as we resolve your organizational, structural, capitalization and supervisory systems issues. We can also assist your organization in securing ancillary registrations which may be required to address specific product needs such as Municipal Securities Rulemaking Board (MSRB) membership for firms desiring to offer municipal securities or National Securities Clearing Corporation (NSCC) membership.

We will assess your particular circumstances and customize your compliance policies and procedures for starting a broker-dealer.

We can work with a wide variety of broker-dealers of all sizes. Our services range from providing expert consulting on rule changes to guiding firms through all aspects of registration and compliance. Our full range of compliance and risk management services fit a wide range of needs, from:

  • The small specialty firm engaged in private placements, investment banking or wholesaling activities.
  • To a full service retail brokerage firm conducting business on-shore or off-shore.
  • To a full service clearing firm.

Our team encompasses hands on senior regulatory, compliance, investigative, accounting, risk management, legal and litigation consulting experience to help you manage both your firm’s regulatory risk and your budget needs.

Where Compliance Meets Business Solutions

Risk Management Business Solutions
Compliance Services Registration Services
  • Net Capital and Focus Reporting
  • AML Compliance and Customer Identification Programs
  • Compliance Audits / Books & Records Reviews
    • Home Office
    • Branch Office
  • Compliance Officer Training
  • Compliance Manuals
  • Pre-Licensing Training
  • Central Registration Depository
  • Privacy Policies
  • Regulatory Consulting
  • Regulatory Exams and Inquiries
  • Regulatory Enforcement Actions
  • FINRA New Member Application Process
    • Turn-key registration packages for start-up investment advisory firms
  • FINRA Application for Approval of Change in Ownership, Control, or Business Operations
  • Registered Representative and Principal Licensing
  • State Registration and Licensing
  • Branch Office Registration