Broker-dealer registration may be triggered by any number of marketplace lending activities. Registering as a broker-dealer is an arduous task governed by a multitude of regulatory requirements. We can provide assistance in all aspects of operating a broker-dealer, including initial registration with the SEC and FINRA.

Our broker-dealer registration solution includes:

  • Identifying Lines of Business
  • Assess required documentation
  • Broker-dealer Business Plan review or creation
  • Continuing Education, analysis and training
  • Continuing Education Program Design
  • Business Continuity Plan
  • AML Policies and Procedures
  • Written Supervisory Procedures
  • Certifications and Acknowledgements
  • CRD Registrations and Access Entitlements
  • Creating and Filing the Form BD
  • DOL Fiduciary Rule Assessments and Compliance/li>