The registration process for broker/dealers has become more complex in the past few years. That, coupled with the time sensitive – not to mention time consuming – aspect of the current registration process – has been rumored to cause even the most stoic of compliance professionals to lose sleep. The experienced professionals at SRP can help you avoid (typical, and reduce the risk of delayed or abandoned registrations, additional work delays and/or costly legal issues.
Broker/Dealer Registration services offered by SRP include, but are not limited to the following:
- Preparation and filing Broker/Dealer and individual registration applications with the
FINRA, SEC, MSRB and state;
- Written Supervisory Procedures;
- AML Procedures
- Business Continuity Plans
- Books & Records
- Firm Element Continuing Education Needs Analysis and Training Plan for the current year;
- Coordination of other requirements (fidelity bond, clearing arrangements, FINS number, SIC agreement, SIPC membership); and
- Participation in the pre-membership interview.