Navigating the regulatory environment for capital acquisition brokers

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Registration, Exams and New Membership Applications

From broker dealer formations to implementation of supervisory controls and everything in between, RegComp Financial  provides top-tier expertise and global coverage to advise at every stage of the broker dealer life cycle. We are a full-service provider for capital acquisition brokers and limited scope broker dealers.

Whether executing a new membership application, analyzing qualification examinations for registration, navigating the regulatory landscape, or providing innovative compliance solutions, our experts understand the unique opportunities and dynamics of the industry. The combination of our strong regulatory capabilities and track record working extensively alongside limited scope brokers, including capital acquisition brokers sets us apart.

We assist new member applicants compile and prepare required documentation for the New Membership Application and submit it to FINRA. Our goal is to make the registration process more streamlined and simplified to CABs and limited scope broker dealers in an efficient and cost effective manner.

Manage The Entire New Membership Application Process

RegComp Financial will complete a name reservation for the applicant with FINRA as well as prepare and submit Form BD, Web CRD Entitlement Forms, Form U4, and Form NMA.

Prepare Comprehensive Business Plan and Supplemental Documents

RegComp Financial will prepare all written material including customized written supervisory procedures tailored specifically to the firm's model. We will execute an Outside Business Activities Questionnaire and 3270 analysis, provide FINRA-approved fingerprint card for each associated person subject to SEC Rule 17f-2, among other areas.

Complete Continuing Education Plan (Needs Analysis and Training Plan)

RegComp Financial will assist the applicant develop a continuing education plan that meets all regulatory requirements and satisfies the training needs of the applicant.

Prepare Net Capital Computations and Supporting Schedules

RegComp Financial will prepare regulatory reporting items including net capital computations, etc. to support the firm's new membership application. In addition, we will assist the firm prepare monthly projections of income and expenses for the first 12 months of operation and review the trial balance and balance sheet.

Prepare Client for Interview and Acceptance

RegComp will prepare the firm's principal(s) for the new membership application interview and acceptance. In addition, we will serve the firm on an ongoing basis, as applicable (Ongoing Compliance Support).

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