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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.

Broker-Dealer Registration Made Seamless

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:

  • 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 a training plan
  • Develop a business continuity plan
  • Prepare and submit state registration package(s)
  • Prepare continuing membership applications (CMA)
  • Prepare materiality consultations

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 Regulatory Compliance

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.

Tailored Solutions for Success

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.

Partner with My RIA Lawyer

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

How we're different

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.

Doing Nothing, Changes Nothing.

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What RIAs Should Be Asking Their Attorneys

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My RIA Lawyer

“It’s important that you look at your legal provider and who it is you have invested in to protect your business, so there are a few things you should be asking your lawyer. First, do they know what the heck you’re doing? Do they know the services you provide? The fees you’re charging? Do they understand securities? One of the problems I see when there is a legal action or when there’s an enforcement action, is that so many of you are going to attorneys that have ZERO securities experience! You’re going to, God forbid, a general practitioner!! That’s not the kind of lawyer you want, you want a securities attorney! You want them to understand your business.

— Leila Shaver Founder

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