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Broker-Dealer + Investment Advisor Registration

Foreside offers registration services for both Broker-Dealers and Investment Advisors.  Our registration experts will draft and file the required forms (e.g., NMA, CMA, ADV) and will guide you through business model decisions to help ensure regulatory obligations are met.  Whether you are new to the business or require some support, we will coordinate the registration process, handle correspondence with regulators, and keep you informed every step of the way.  Once you are registered, we will also provide a compliance manual tailored to your business and email alerts keeping you informed of the latest rules and regulations.  All of this is accessible through our client interfacing system, ForesideConnect®.

Foreside RIA Registration Services

Whether you register with the SEC or state, we will provide hands-on assistance guiding you through every step of the complex registration process.

Foreside’s Registration Service Includes:

  • Pre-registration consulting
  • Extensive phone interview with principals to review specific registration issues
  • Preparation and filing of Form ADV & Form CRS, as applicable
  • State/SEC registration/notification filings and Investment Advisor Registration (“IAR”) registrations
  • Tailored written policies and procedures manual and Code of Ethics

All Registrations Include Ongoing Compliance Support:

Becoming a Registered Investment Advisor (“RIA”) requires an understanding of the regulatory requirements that apply to your firm. As part of our registration services, we provide limited compliance support for one year from your contract date, including:

  • Access to your dedicated compliance support team
  • Three hours of consulting time
  • Webinars on relevant and timely compliance issues
  • Access to ForesideConnect®, our best-in-class compliance technology

Special Pricing Incentive for Registrations bundled with PartnerProgram services

Foreside has designed four PartnerPrograms, providing various levels of support to fulfil your firm’s ongoing compliance obligations.  Each program is supported by a team of three compliance professionals, combined with proprietary technology to deliver customized, proactive compliance services to your firm.  By selecting the level of ongoing compliance support that is best for your firm, you will save money on the onset with our bundled registration pricing.  Find out more about our PartnerPrograms for RIAs here.

Dedicated Service for Breakaway Brokers

Individuals breaking away from their current broker-dealer arrangements require special consideration when establishing their own investment advisory business.  Click here  to learn how Foreside’s Breakaway Broker Platform can guide you through all of legal and regulatory hurdles.

Foreside Broker-Dealer Registration Services

From start to finish, Foreside executes every detail in the FINRA application process, providing business, financial and strategic planning to ensure a clear and concise application.

Foreside guides your firm through the entire process, including:

  • Preparation and submission of your customized application through the FINRA Gateway membership form
  • Specialized business plan designed to address all requirements
  • Customized procedures manuals and checklists
  • Liaising with FINRA examiners throughout the application process until a decision is rendered
  • Preparation for the FINRA Membership interview
  • Completion of post-approval required filings

New Firm Records Setup

Post FINRA approval, Foreside can visit your firm to ensure documents and records are set up for smooth operation of your broker-dealer following approval of membership and registration (by FINRA and SEC).

Rule 1017 Continuing Membership Application

Navigate Broker-Dealer Structure Changes with Expert Assistance

Changes to a broker-dealer’s ownership, business lines, representatives or branch office count and transfers of representative, accounts or assets to another firm may require a Continuing Membership Application or Determination of Materiality filing (DoM) with FINRA. We will provide expert guidance that will simplify what can be a daunting process.

Precise CMA Application Process

Whether filing a CMA or DoM, Foreside will provide:

  • Preparation and submission of your customized application through the FINRA Gateway membership form (CMA)
  • Preparation and submission of request for a Determination of Materiality through the FINRA Gateway membership filings, if required
  • Liaising with FINRA examiners throughout the application process until a decision is rendered
  • Advising firm on or preparation and submission of CRD filings through our Partner Program services

Foreside’s experienced staff has performed hundreds of FINRA applications and has a strong working relationship with FINRA’s membership application team that handles DoM, CMA and NMA applications. We know what they look for, will ensure your application meets their requirements, and will stand by your firm until the final decision is issued by FINRA.

 

 

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