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FINRA NMA and CMA Application Services
From licensing to daily operations, we provide expert compliance services for fintechs so they can focus on innovation while we handle the regulatory requirements.
Since 2013
Specialized in Fintech
Eligibility
Who Needs to Register as a Broker-Dealer?
Not every firm involved in securities must register as a broker-dealer, but most entities that buy or sell securities for themselves or on behalf of others are required to. Below are common types of businesses that typically must register.
Steps
Let Us Manage Compliance While You Focus on Growth
01
Starting Your Broker-Dealer Journey
We guide you through the full FINRA New Member Application (NMA) process, helping with regulatory strategy, required filings, policies, procedures, and everything else needed to become a registered broker-dealer.
02
Starting Your Broker-Dealer Journey
We guide you through the full FINRA New Member Application (NMA) process, helping with regulatory strategy, required filings, policies, procedures, and everything else needed to become a registered broker-dealer.
How We Help
Let Us Guide Your Broker-Dealer Registration
We support broker-dealers through every step of the registration process, from preparing filings to addressing regulatory requirements. Our services are designed to help you navigate this complex process efficiently.
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9100 S Dadeland Blvd
Suite 1500
Miami, Florida 33156