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.
Resources
Latest Content
Articles
FAQ
Your Broker-Dealer Compliance Questions Answered
Let’s Talk About Your Compliance Needs
Who We Serve
Compliance Services
Compliance Consulting
Compliance Operations
Licensing Services
Resources
About InnReg
The content provided on this website is for informational purposes only and does not constitute legal, investment, tax, or other professional advice. InnReg LLC is not a law firm, tax advisor, or regulated financial institution. Viewing this site or contacting InnReg does not create a client relationship. Results described in case studies or testimonials may not be typical and do not guarantee future outcomes. Tools, spreadsheets, or guides available on this site are provided for illustrative purposes only and should not be relied upon without professional guidance. Any links to third-party websites are provided for convenience and do not constitute endorsement or responsibility for their content. The information on this site may not be applicable in all jurisdictions. While we strive to provide accurate content, we make no representations as to its completeness or timeliness. Some visual assets on this site are sourced from Freepik.