MGL - Services - BD - Registration Services

Registration Services

For firms entering the securities industry, MGL provides FINRA, SEC, NFA, CFTC and state registration services. Our team of professionals will assist you with the preparation and filing of the application documents required by FINRA, SEC, NFA, CFTC and or the state regulatory agencies necessary to establish your broker/dealer.

Our firm offers a turn-key registration package for new broker/dealers.

In order to facilitate your firm’s business activities, confidentiality concerns, and the schedules of your professionals, MGL through its partnership with Dearborn can provide you with on-site Pre-licensing training for the Series 4, 6, 7, 24, 26, 27, 28, 53, and 55 qualifying examinations.

For firms already registered with the SEC and FINRA, we provide:

1018 Applications for modification of a firm’s Membership Agreement with FINRA.
multi-state registration services
personnel registration services
Web CRD Administration
year-end renewals
agent transfers

In addition to the foregoing, we are available on a consulting basis for a number of operational issues, including the implementation of cashiering policies and procedures, order execution and routing, reporting systems and controls on trading accounts, record-keeping policies, supervisory procedures, continuing education, and auditing requirements at federal, FINRA and state levels.

For more information regarding these services and or to begin the registration process, please contact MGL Marketing Department at 281-367-0380.