Registrations and Licensing

We bring our experience to help achieve your firm's registration and licensing goals.

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Registration and Licensing for Broker-Dealers and RIAs

Navigating the complexities of regulatory registrations and licensing can be daunting.

Does your company require a regulatory license or registration? InnReg has supported dozens of clients on their journey to becoming regulated entities, securing regulatory approvals for broker-dealers, registered investment advisors (RIAs), alternative trading systems (ATS), money transmitters and lenders.

How It Works

Our Registration and Licensing Processes

Broker-Dealer Registration

For firms navigating the FINRA New Member Application (NMA) and Continuining Membership Application (CMA) processes, we offer expert guidance in preparing and filing Form BD, Forms U-4 and U-5 for registration of principals and representatives. Our services extend to drafting your Business Plan and developing a robust supervisory system, including written supervisory procedures, helping you meet all regulatory expectations from the outset.

Broker-Dealer Registration

Registered Investment Advisor Registration

RIA Registration

For investment advisors seeking SEC or state registration, our comprehensive service includes drafting Form ADV Parts 1, 2A, and 3, developing Form ADV Part 2B, and creating a customized Compliance Manual. This also encompasses the development of a Customized Code of Ethics, aligning your firm’s culture with compliance best practices and regulatory requirements.

RIA Registration

Money Transmitter Registration

Navigating the complex landscape of state and federal regulations for money transmitters, our team provides comprehensive support for businesses seeking licensure. From initial assessments to determine jurisdictional requirements to preparing and filing necessary applications, including the NMLS (Nationwide Multistate Licensing System) forms, we guide you through every step.

Money Transmitter Registration

ATS Platforms Registration

Specializing in the registration of Alternative Trading Systems (ATS) with the SEC and FINRA, our team offers expert advice and support in the preparation of Form ATS and navigating the complex regulatory environment.

ATS Platforms Registration

Lender Registration

Our team simplifies the lender registration process, guiding you through state regulations and handling all necessary documentation to meet licensing approval standards.

Lender Registration

Our team simplifies the lender registration process, guiding you through state regulations and handling all necessary documentation to meet licensing approval standards.

Benefits

Facilitate Your Firm's Registration with InnReg

Unlock the full potential of your firm with InnReg's expert registration and licensing services. Our tailored approach not only simplifies the complex process of regulatory compliance but also positions your firm for strategic growth and operational efficiency.

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