Empowering financial advisors and firms to conquer the legal challenges of the financial services universe.
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 broker-dealer 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 the complex broker-dealer registration process.
Our dedicated team possesses an in-depth understanding of the Securities Exchange Act and the securities market, enabling us to effectively assist you in registering as a broker-dealer.
Our BD Registration services include:
We specialize in helping you understand the intricate regulations that govern securities transactions, whether involving debt securities, government or municipal securities, or exempted securities. We cater to various businesses, including general-purpose broker-dealers, government securities brokers, and municipal securities dealers.
Navigating the broker-dealer registration process can be complex, with considerations from the Securities Act to the Financial Industry Regulatory Authority (FINRA) rules. Our experts provide clear guidance, ensuring your compliance with federal securities laws and working closely with applicable state securities regulators. We specialize in addressing specific requirements, such as broker-dealer registration requirements and the use of electronic signatures for streamlined processes.
Our services extend to various facets of broker-dealer operations, including securities transactions, fair dealing practices, and facilitating security futures trading. We assist you in understanding the implications of your business activities on your registration status, whether it involves selling securities, soliciting securities transactions, or conducting government securities activities.
Whether you are a registered national securities exchange or an independent securities business, we tailor our guidance to suit your unique needs. Our services cover a wide spectrum of scenarios, from assisting registered broker-dealers with their ongoing compliance to aiding in registering foreign broker-dealers seeking exemption. We provide personalized solutions that align with your business goals.
My RIA Lawyer boasts a wealth of experience in the realm of broker-dealer registration. We stay current with updates from regulatory bodies such as the Securities and Exchange Commission (SEC), the Commodity Futures Trading Commission (CFTC), and the Municipal Securities Rulemaking Board (MSRB). Our dedication to staying informed ensures that you receive accurate, up-to-date guidance that aligns with the latest legal developments.
Are you on your way to becoming a registered broker-dealer? When you choose My RIA Lawyer for your Broker-Dealer Registration Services, you’re choosing a partner that understands the intricacies of broker-dealer operations. Our team is committed to guiding you through the registration process, ensuring compliance, and setting your business on a path to success in the securities market. Contact us today to embark on a journey toward seamless broker-dealer registration and regulatory excellence.
Not your daddy's law firm
We take a no-nonsense approach to solving your problems. Forget about one-size-fits-all solutions; we roll up our sleeves and craft strategies that fit your financial business like a glove. We’re not just lawyers – we’re compliance partners, financial enthusiasts, and problem solvers.
We get it – you need answers, and you need them now. That’s where we come in, offering a blend of big-firm resources with the kind of personal attention you’d expect from a smaller one.
But what really sets us apart? We’re all about your success. Compliance is just the start; we’re here to help you thrive. We know the ins and outs of the financial world, and we’re not afraid to think outside the box to help you reach your goals while playing by the rules.
Making the jump to start your own firm is a big decision. Its stressful, hard work, and you have to learn a ton. This why I decided to hire a professional team to help establish my RIA the right way the first time. My RIA Lawyer’s team is absolutely amazing. They have demonstrated expert knowledge, personable staff, and they have shown us how much they genuinely care about setting us up for success by giving us the tools we need to help others. Thank you Leila and Liz for all of your hard work!
The initial consultation was extremely valuable. I definitely recommend speaking with them. I had very custom needs, and they rose to the task!
I worked with Leila as I was getting my new RIA firm up and running. Leila provided expert legal advice as a complement to the national compliance firm who was assisting me with my registration. I was introduced to Leila after I had already begun the process and not sure how I would have made it through without her. She was an invaluable resource and I look forward to working together again in the future!
I have used My RIA Lawyer for filing my Annual Amendments in the past and was very happy with their services and professionalism. Leila Shaver is very responsive, communicative, and extremely knowledgeable. I highly recommend their services!
Leila is an expert with compliance but she also offers a wealth of knowledge as a business owner. We discussed everything including compliance, marketing, business partnerships, and more. Even though my firm is not yet at a point to work with her, she has sent me multiple emails offering assistance with the things we spoke about during our meeting.
The attorneys at MyRIALawyer are always extremely attentive, responsive and competent. We look forward to expanding our relationship, as we continue to grow.
and help them understand what it is they actually need to be asking for.
We are the answer to All Your Questions.
“In life, it’s not that we don’t have enough time; it’s that we lose so much of it. We waste time on things that can be outsourced instead of spending time on things and people we love. I’d rather pay someone to clean my house and take that time to spend with my children. Our clients are happier letting us ‘clean house’ while they work with their clients. In the end, they have more satisfaction in their businesses and they’re happier overall.”
— Leila Shaver Founder
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