Mainstay’s Broker / Dealer services provide our clients with the regulatory and compliance expertise necessary to meet the ever changing challenges of the current regulatory environment. We tailor our services to meet the needs of our clients so they can ensure compliance with the applicable rules and regulations. We don’t sell our clients a product; we deliver a solution.
FINRA Membership Process
The FINRA membership process can be a time-consuming and demanding process. Mainstay’s consulting staff includes former FINRA staff members who understand the nuances of the application process.
The critical elements to the timely and successful completion of FINRA membership include:
A complete and concise business plan;
Adequate capital to support ongoing operations;
Detailed discussion of the firm's supervisory system; and
Timely registration and qualification of all associated persons.
At Mainstay, our consultants have many years of direct hands-on experience with the membership application process. As such, we are uniquely positioned to provide the assistance needed to successfully complete the FINRA membership process.
Contact a Mainstay consultant to request additional information.
Regulatory and Compliance Services
Advertising & Website Review
AML Audit/Independent Testing
Annual Compliance Meetings
Books and Records
Branch Office Inspections
Compliance Procedures/Manuals Reviewed and Customized
Customer Complaint Review & Form Filing
Due Diligence/Product Reviews
Form B/D and B/R Amendments
Mock Regulatory Examinations
Operational Systems and Procedures
Regulatory Examination Assistance
Regulatory Inquiry Assistance
Regulatory Mandated Consulting
Regulatory Mandated Independent Consulting
Sales Practice Reviews
State Regulatory Filings
Supervisory Controls Assessments
Supervisory Procedures/Manuals Reviews and Customization
U4 and U5 Amendments
Work Flow and Systems Analysis
FINRA New Membership Application
Changes to Membership Applications (Rule 1017 application)