Broker-Dealer Registration Services

FINRA’s broker-dealer registration process covers a firm’s full life cycle, from meeting initial membership standards to updating and renewing registration.  My RIA Lawyer offers guidance to BDs seeking to become FINRA members, the various filing and qualification requirements and what member firms need to do to expand their business or withdraw their registration.

Are you registering a new BD firm?  Do you want to manage a branch office?  Are you terminating a BD’s firm registration?  Or are you updating your BD firm registration as a Continuing Member?

Our registration experts will draft and file the required forms, coordinate the registration process, handle correspondence with regulators and ensure regulatory obligations are met.  Our hands-on assistance will guide you through every step of the complex broker-dealer registration process.

Broker Dealer Registration Services

Our BD Registration services include:

  • Draft and file the applicant’s Form BD
  • Draft and file the applicant’s new membership application (Form NMA) with FINRA
  • Schedule qualification examinations for all registered representative candidates
  • Draft and submit FINRA entitlement forms that provide access to the online FINRA Gateway system
  • Draft and submit U-4 filings for each registered representative within the firm
  • Draft and submit NRF filings for all associated persons within the firm
  • Assist in preparing the applicant’s business plan
  • Draft supervisory procedures manual
  • Develop and implement anti-money laundering (AML) policies and procedures
  • Preparation for the pre-membership interview
  • Perform continuing education needs analysis and create training plan
  • Develop business continuity plan
  • Prepare and submit state registration package(s)
  • Prepare continuing membership applications (CMA)
  • Prepare materiality consultations

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Why Choose My Ria Lawyer?

  • Experts in the RIA Space – My RIA Lawyer is the only law firm solely focused on the RIA space.
  • Confidential Strategy Session – During your phone or online video consultation, we will listen to you and help you determine your next steps.
  • Focused Legal Practice – By focusing the firm on investment advisers, our clients receive specialized services and advice that finally allow them to take control and live the life they dream of.
  • Experienced – My RIA Lawyer has a proven record of protecting advisors against disputes with their clients, their former bosses and their partners, empowering them to exercise their rights and get compensated for damages.
  • Highly Responsive – We strive for rapid return calls. No going dark or waiting days to hear back.
  • Proactive Approach – Arbitration is costly and can take over a year to resolve, so we are proactive in finding solutions that cut costs and the amount of time you have to deal with a dispute.
  • Our Vision – My RIA Lawyer wants to see advisors growing their businesses without threat of arbitration and disputes from partners, former bosses, and clients.
  • Highly Reviewed & Rated – Excellent rating by respected legal website Avvo, awarded by Super Lawyers, 5- Star average review rating on Google. See some of our client reviews below.

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