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Broker-Dealer Compliance Services
We Help Broker-Dealers with Compliance
Whether you're launching a broker-dealer or scaling your operations, our team brings decades of FINRA and SEC experience, supporting licensing, supervision, outsourcing principals, and ongoing compliance management.
As seen on:
As seen on:
As seen on:
Challenges
Managing Compliance for Broker-Dealers Is Not Easy
Managing Compliance for Broker-Dealers Is Not Easy
Broker-dealers operate under strict FINRA and SEC rules, facing constant updates, tight supervision standards, and heavy operational demands.
Broker-dealers operate under strict FINRA and SEC rules, facing constant updates, tight supervision standards, and heavy operational demands.
Too Many Rules to Manage
FINRA has over 800 rules. The SEC has more than 200 that apply to broker-dealers. Are you tracking them all?
Too Many Rules to Manage
FINRA has over 800 rules. The SEC has more than 200 that apply to broker-dealers. Are you tracking them all?
Too Many Rules to Manage
FINRA has over 800 rules. The SEC has more than 200 that apply to broker-dealers. Are you tracking them all?
Supervision Never Stops
Firms must monitor daily activity, supervise reps, and detect risks before they turn into compliance failures.
Supervision Never Stops
Firms must monitor daily activity, supervise reps, and detect risks before they turn into compliance failures.
Supervision Never Stops
Firms must monitor daily activity, supervise reps, and detect risks before they turn into compliance failures.
Pressure From Exams
Are you ready for your next FINRA or SEC exam? Mistakes can lead to fines, findings, or reputational harm.
Pressure From Exams
Are you ready for your next FINRA or SEC exam? Mistakes can lead to fines, findings, or reputational harm.
Pressure From Exams
Are you ready for your next FINRA or SEC exam? Mistakes can lead to fines, findings, or reputational harm.
Regulators
Key Regulators for Broker-Dealers
Understanding which regulators oversee broker-dealer activity is essential to managing compliance. Here’s a quick overview of the key agencies involved.
Frameworks
Key Frameworks for Broker-Dealers
Key Frameworks for Broker-Dealers
Broker-dealers must comply with a complex set of federal laws, SEC rules and FINRA regulations. These frameworks define how firms operate, supervise and interact with clients.
Broker-dealers must comply with a complex set of federal laws, SEC rules and FINRA regulations. These frameworks define how firms operate, supervise and interact with clients.
Requirements
Compliance Requirements for Broker-Dealers
Broker-dealers must meet a wide range of compliance obligations across multiple areas, including licensing, supervision, communications, recordkeeping, and more. These are some of the key functions regulators expect your firm to manage effectively.
FINRA NMA/CMA
Compliance Program Development
Compliance Program Management
Broker-Dealer Licensing Strategy and Planning
Vendor and Service Provider Selection Support
Form NMA/CMA
Firm Registration Filings (Form BD, Name Reservation)
Individual Registration Filings (Form U4)
FINRA Entitlement System Setup
Fidelity Bond Application
Lost and Stolen Securities Program Registration
Business Plan Drafting
FINRA Communications and Inquiry Management
Written Responses to FINRA Information Requests
Technology Demonstration Support for FINRA Approval
FINRA Pre-Approval Interview Preparation and Participation
FINRA NMA/CMA
Compliance Program Development
Compliance Program Management
Broker-Dealer Licensing Strategy and Planning
Vendor and Service Provider Selection Support
Form NMA/CMA
Firm Registration Filings (Form BD, Name Reservation)
Individual Registration Filings (Form U4)
FINRA Entitlement System Setup
Fidelity Bond Application
Lost and Stolen Securities Program Registration
Business Plan Drafting
FINRA Communications and Inquiry Management
Written Responses to FINRA Information Requests
Technology Demonstration Support for FINRA Approval
FINRA Pre-Approval Interview Preparation and Participation
How We Help
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.
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
Building Your Compliance Foundation
We help design and implement your compliance program, including supervisory systems, written policies and procedures, and risk management processes that align with FINRA and SEC expectations.
02
Building Your Compliance Foundation
We help design and implement your compliance program, including supervisory systems, written policies and procedures, and risk management processes that align with FINRA and SEC expectations.
03
Running Your Daily Compliance Operations
After you’re registered, we provide ongoing support—handling daily compliance tasks, supervising operations, responding to regulatory changes, and preparing for exams and audits.
03
Running Your Daily Compliance Operations
After you’re registered, we provide ongoing support—handling daily compliance tasks, supervising operations, responding to regulatory changes, and preparing for exams and audits.
04
Filling Key Principal Roles for Your Firm
We provide outsourced principals to support your broker-dealer's operations, helping you meet regulatory role requirements without needing to hire full-time staff.
04
Filling Key Principal Roles for Your Firm
We provide outsourced principals to support your broker-dealer's operations, helping you meet regulatory role requirements without needing to hire full-time staff.
Why InnReg
Broker-Dealer Compliance Is in Our DNA
InnReg was founded in 2013 by Francesco Matteini, former Chief Compliance Officer who helped launch and scale some of the most innovative digital broker-dealers over the last two decades. He built compliance programs to support the first zero commission broker and the first BD-sponsored investor social network.
Decades of Experience
Our team brings together multiple decades of cumulative experience in regulatory compliance and fintech.
Decades of Experience
Our team brings together multiple decades of cumulative experience in regulatory compliance and fintech.
Full-Service Solutions
InnReg can cover your entire compliance journey, from strategic planning to daily operations.
Full-Service Solutions
InnReg can cover your entire compliance journey, from strategic planning to daily operations.
Seamless Integration
InnReg's team integrates into your organization to complement your existing resources and structures.
Seamless Integration
InnReg's team integrates into your organization to complement your existing resources and structures.
Expertise on Your Niche
Work directly with our regulatory specialists, each selected for their unique expertise in your specific niche.
Expertise on Your Niche
Work directly with our regulatory specialists, each selected for their unique expertise in your specific niche.
Worldwide Expertise
With a diverse team around the globe, InnReg supports international firms in navigating multi-jurisdictional landscapes.
Worldwide Expertise
With a diverse team around the globe, InnReg supports international firms in navigating multi-jurisdictional landscapes.
Cost-Effective Services
Compliance outsourcing for financial services firms can provide significant cost savings while promoting innovation.
Cost-Effective Services
Compliance outsourcing for financial services firms can provide significant cost savings while promoting innovation.
Case Studies
Our Broker-Dealer Stories
Resources
Latest Content
Articles
Regulatory Updates
Articles
Regulatory Updates
FAQ
Your Broker-Dealer Compliance Questions Answered
Your Broker-Dealer Compliance Questions Answered
What is required to register as a broker-dealer?
What is required to register as a broker-dealer?
How long does broker-dealer registration typically take?
How long does broker-dealer registration typically take?
What is FINRA’s role in broker-dealer compliance?
What is FINRA’s role in broker-dealer compliance?
How is FINRA different from the SEC?
How is FINRA different from the SEC?
What is a supervisory system?
What is a supervisory system?
What are the consequences of deficiencies found during a FINRA exam?
What are the consequences of deficiencies found during a FINRA exam?
Are broker-dealers required to maintain an AML program?
Are broker-dealers required to maintain an AML program?
Can broker-dealers outsource required principal roles?
Can broker-dealers outsource required principal roles?
What is the FINRA New Member Application?
What is the FINRA New Member Application?
When is a Continuing Membership Application required?
When is a Continuing Membership Application required?
Let’s Discuss Your Compliance Challenges
Let’s Discuss Your Compliance Challenges
Who We Serve
By Regulatory Vertical
By Company Type
Compliance and Operations
By Function
Licensing and Registrations
By Regulator
Resources
About InnReg
Who We Serve
By Regulatory Vertical
By Company Type
Compliance and Operations
By Function
Licensing and Registrations
By Regulator
Resources
About InnReg
Who We Serve
By Regulatory Vertical
By Company Type
Compliance and Operations
By Function
Licensing and Registrations
By Regulator
Resources
About InnReg