Your initial broker-dealer registration is the framework for your practice. ComplianceMAX Financial utilizes a diligent, proven approach to get your firm effectively registered and to provide a solid footing for your firm's future.
A Trusted Partner
ComplianceMAX Financial has been the trusted partner to hundreds of new broker-dealer entrants in the financial services industry. Nothing matters more in the registration process than an open line of communication, accuracy, professionalism and timeliness. Let the ComplianceMAX professional consulting team apply its expertise in licensing and registration to facilitate your broker-dealer's initial registration.
Comprehensive Service
ComplianceMAX Financial provides a comprehensive registration service which covers all of the requirements for NASD registration or change in membership/ownership. This service addresses all of the following key elements required for a successful registration or transition and includes all components of the New Member Application or Change in Membership Application, including:
- Detailed business plan describing the business requirements and capital structure
- Written Supervisory Procedures, and completed WSP checklist
- Description of your recordkeeping system, organizational chart
- A copy of your continuing education plan
- Assembly of copies of all draft or final agreements relating to your new business, including those with banks, clearing entities, or service bureaus
- Preparation for the pre-membership interview; communications with the regulator
- Special request responses to regulators, as required
- Complete Registration File, upon completion, including "Model Office" compliance file folder labels
Affordable
ComplianceMAX knows that you're challenged every day to do more with less. We've positioned our registration program to offer the maximum value available in the marketplace. Starting at $15,000 (additional fees apply for individual state filings and setups), the ComplianceMAX registration program is the smart choice for firms that demand high-quality service at a competitive price.
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