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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.

The registration process actually begins several months before an application is submitted to FINRA. A Mainstay consultant typically works with the applicant during this period to properly organize the business plan, complete the application and draft the documents that must be submitted with the application. FINRA’s "Tools" web page offers considerable guidance on how the required documents must be prepared.

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.

Mainstay Capital Markets Consultants, Inc. is a consulting firm. We are not attorneys and therefore do not offer legal services. All information contained in this website has been derived from sources that we deem to be reliable but cannot be guaranteed.
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