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Syndicate Legal Advisory Services provides nationwide legal document preparation services for entities seeking FINRA membership as a new broker-dealer through FINRA’s New Membership Application (Form NMA) process. We prepare and complete Form NMA and related supporting documents, including (but not being limited to): business plan details, ownership structure, supervisory arrangements, financial information, and specific instructions you provide. 

 

Documents Commonly Prepared

We prepare a full range of documents associated with the FINRA New Membership Application process, including but not limited to:

  • Form NMA: Completion of the New Member Application form (organized around FINRA’s Standards for Admission), including narrative responses and supporting information based on the details you supply.
  • Business Plan and Supporting Narratives: Detailed business plan descriptions, overviews of proposed activities, supervisory structures, and related narrative sections for Form NMA, prepared from the information you provide.
  • Organizational and Ownership Documents: Assembly or formatting of ownership charts, supervisory charts, corporate formation documents, and related exhibits based on client-supplied materials.
  • Financial and Capitalization Materials: Organization of pro forma financial statements, net capital computations, funding source documentation summaries, and related financial exhibits from information you supply.
  • Related Registration and Supporting Forms: Assistance with related forms commonly filed in connection with the NMA (such as references to Form BD, Form U4, Form BR, or other schedules), completed or organized from client-supplied information.
  • Written Supervisory Procedures and Policy Summaries: Formatting or organization of Written Supervisory Procedures (WSPs), anti-money laundering procedures, or other policy documents based on content you provide.
  • Related Supporting Materials: Exhibits incorporating client-supplied agreements (clearing, expense-sharing, technology), bank statements summaries, or other materials referenced in the application.

 

Documents are prepared for use in connection with filings through FINRA Gateway and any required supporting submissions (subject to the information you provide). The FINRA New Membership Application is governed by the Membership Application Program (MAP) rules (FINRA Rules 1011–1019), requires demonstration of compliance with the Standards for Admission under Rule 1014, and involves coordination with Form BD and other registrations; clients remain fully responsible for electronic filing, completeness determinations, responses to FINRA staff inquiries, payment of fees, and compliance with all FINRA, SEC, and related requirements.

BD - FINRA REGISTRATION (New Broker Dealer Entity)

475,00 US$Precio
Cantidad
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DESCARGO DE RESPONSABILIDAD: La información de este sitio es solo para fines informativos y no debe tomarse como asesoramiento legal o financiero. Solicitar información adicional o enviar información a través de este sitio o cualquier formulario de contacto no significa que se haya formado una relación abogado-cliente ni ninguna otra relación proveedor-cliente de servicios profesionales. Syndicate Legal Plans es propiedad de Syndicate Legal & Financial, LLC, una oficina de asistencia en documentación legal autorizada, garantizada y asegurada debidamente registrada en el condado de Los Ángeles (n.° 2024100564 ). Para conocer los términos y condiciones, haga clic aquí .

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