Registration Services

Outsourcing your registration needs to CXG allows you to manage costs and access our industry-leading experts, for a smoother and more effective process. Our team works closely with your CCO to anticipate and overcome challenges, as we build highly efficient and scalable solutions designed to successfully transform management of your regulatory responsibilities. We are proficiently skilled in Finra’s Gateway system, and can manage your registration requirements in a speedy, cost efficient manner.

Our professional registration services include:

  • FINRA, SEC, and state registrations (for both individuals and the Firm)
  • Continuing Education Needs Analysis
  • Form U-4 and Form U-5 filing and amendments
  • Form BD and Form BR filing and amendments
  • Liaison duties with FINRA, to streamline the process
  • Comprehensive audit to ensure fulfillment of all compliance requirements
  • Proper retention of registration records
  • Firm Gateway compliance

Want to learn more about our registration services and solutions? Contact us today and find out how CXG can eliminate the resources burden of the registration process.

Ready to see what we can do for you?

Speak with one of our Principals and discuss how we can help your business.

We needed an additional 24 to meet FINRA expansion requirements – CXG really came through for us. Very professional staff and they saved us a bundle in operating costs by setting us up with one of their licensed principals.

NY Broker-Dealer
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