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Starting
a Broker/Dealer
Establishing a new broker/dealer is the first step towards becoming an
active participant in the securities industry. The registration process,
however, can be complex, confusing and a time sensitive task. As former
NASD examiners, we specialize in the New Membership Application process and
have assisted numerous firms gain membership with the NASD. We will
personally guide you through the entire process, step-by-step, and ensure
that your application is handled in an expedient and professional manner.
Our Full-Service broker/dealer registration package includes the following:
Prepare and file Broker/Dealer registration and individual registration
applications with the NASD, SEC, MSRB, and appropriate states.
Provide Supervisory Procedures designed to protect the firm and
satisfy NASD requirements.
Completion of SEC Rule 15c3-1 Net Capital Computation with all
appropriate supporting documentation.
Financial Statement and Accounting System Review such as general
ledger, trial balance, subsidiary legers, supporting schedules,
bank statements and reconciliation.
The NASD requires an analysis of the experience, disciplinary
history, and continuing responsibilities of your supervisory personnel.
We can provide you with a continuing education need analysis and
training plan. We also assist in the implementation and documentation
of the training plan.
Analyze your firm's record keeping system as required by the NASD.
Prepare and review additional requirements such as fidelity bond
analysis, clearing arrangements, execution of securities transactions,
organization chart, description of facilities, etc.
Accompany you to the NASD Pre-Membership Interview.
We will compile and prepare all the required documentation for
the New Membership Application in a professional portfolio and
submit it to the NASD. Additionally, we will quickly respond to
any request from the NASD for additional information or clarification
of material submitted.
We are
convinced that InvestmentCare Consulting Group is the most efficient and cost effective
solution to your New Membership Application needs. For more information
regarding our New Membership Application services, please contact
us at 818-386-6900. |
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