Are you thinking of expanding your business? Creating a new broker/dealer?
MCD Consulting can walk you through the FINRA membership process. MCD will help you prepare a business plan and membership application so that your firm can have answers for FINRA when they ask about:
- Written Supervisory Procedures
- Financial Books and Records
- Business Continuity Planning
- Anti-Money Laundering Plan
- Continuing Education
- Compliance and Exception Reports
- Internal Controls
- Clearing Agreements
- Net Capital Requirements
Contact MCD to learn more about our FINRA Membership services.
Sensible Solutions. Exceptional Service.