- Registration of
the firm’s designated principals, corporate officers and owners as required,
including required disclosures on Schedule A and Schedule B of Form
BD.
- Written Supervisory
Procedures manual preparation and submission. Your firm will be provided
with a hardcopy and a disk copy from which additional reprints may be
made.
- FINRA Firm Element
Needs Analysis and Training Plan will be prepared for your firm and
submitted as part of the firm’s application for membership.
- Preparation of
and consultation with client regarding firm’s proposed Business Plan
for submission to FINRA in accordance with FINRA Membership and NASD
Registration Rules 1013 and 1014.
- Coordination of
other aspects of the registration process: fidelity bonding, clearing
firm selection, fingerprinting of agents, MSRB registration for municipal
securities, Options Exercise Assignment Procedures for options business
activities, FINS number, SIC agreement, SIPC membership, etc.
- Accurate and timely
tracking and reporting of firm and agent applications through the various
agency processes. Coordination and scheduling of pre-licensing training
and examinations.
- Complete set of
file copies containing all documents prepared on behalf of your firm
and submitted as part of its application processes.
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