Our Services

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Registration Solutions provides hands-on support for the core regulatory filings that keep broker-dealers properly registered, up to date, and in good standing. From representative filings to firm-level amendments, we help ensure accuracy, consistency, and timely submission across FINRA and state jurisdictions.

• Registered Representative filings (Forms U4 and U5)
• Forms BD and BR amendments
• FINRA Disclosure Reporting process expertise
• Multi‑state registrations
• WebCRD administration, maintenance, and support
• FINRA Change of Membership Applications (CMAs)
• Materiality Consultation (MatCon) letters

Beyond regulatory filings, Registration Solutions partners with firms to manage ongoing compliance responsibilities and regulatory readiness. We offer practical advisory support to help firms prepare for examinations, address evolving regulatory requirements, and maintain effective supervisory and compliance programs.

• AML Independent Testing
• Annual Compliance Meeting preparation and presentation support
• FINRA examination preparation and post‑exam response support
• Regulation Best Interest (Reg BI) implementation and ongoing support
• Written Supervisory Procedures (WSP) development and updates
• Branch office set‑up, organization, and compliance reviews
• Assistance to FINOPs and CFOs with annual audit coordination and regulatory filings

As a newly approved FINRA member firm, your first routine FINRA cycle examination typically occurs within six to twelve months of approval. Early preparation is critical.

Registration Solutions works closely with compliance officers and senior management to ensure firms are organized, informed, and positioned for a smooth examination process, well before regulators arrive.