Broker-Dealer Registration and Licensing

Broker-Dealer Registration & Licensing

At Master Compliance, we specialize in helping individuals and organizations with registration and licensing. We offer support from the initial application process to ongoing compliance management, ensuring that you can easily follow licensing protocols in any industry. With our expert guidance, user-friendly tools, and unmatched support, Master Compliance can help you efficiently achieve and maintain regulatory compliance. Below are the services we offer:

  • CRD Administration: Providing administrative services for the CRD system, including record maintenance, managing registrations, and facilitating communications with regulatory agencies.
  • Form BD Updates: Supporting broker-dealers in updating their Form BD to reflect changes in business operations, ownership, or other relevant information.
  • State Registration: Assisting firms with registering in the states where they intend to do business.
  • Form BR Updates: Helping broker-dealers update their Form BR to reflect changes in branch office locations or other required information.
  • Form U4/U5 Filings: Assisting with the preparation and submission of Form U4 (onboarding) and Form U5 (offboarding) for individual registered representatives.
  • Open Exam Window: Assisting in the process of opening exam windows.
  • Disclosure Reporting Page (DRP): Assisting in the process of regulatory updates for disclosure of criminal, regulatory actions, civil judicial, customer complaints/arbitrations/civil litigation, termination, and or Financial disclosures.
  • State Notice Filings: Managing the process of filing required notices with state regulatory authorities to ensure compliance with state-specific licensing requirements.

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To learn more about our Registration & Licensing services, contact us or call 1-404-841-1010.

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