FINRA Registration

Under the scope of setting up a new broker-dealer and applying for membership, Greyline will manage and facilitate the entire new membership application (NMA) process in accordance with FINRA, including:

  • Individual and broker-dealer filing with the SEC, FINRA and state SROs.
  • Assistance in completion of all registration documents, including Form BD, Form NMA, business plan and submission of supporting documents.
  • Preparation of your firm’s written supervisory procedures, supervisory control procedures and anti-money laundering procedures.
  • Liaison services between your firm and the regulators.
  • Initial setup of compliance program.

Looking for assistance with a new membership application? Contact Greyline for assistance with the registration process.

  • About Greyline

    Greyline provides outsourced compliance services for private fund managers, commodity pool operators and commodity trading advisors, traditional investment advisors and other financial firms.

  • Contact Us

    450 Geary St., Suite 100, San Francisco, CA 94102
    info@greylinesolutions.com