Rule 1017 – Change in Business | CMA Services
Broker-Dealer registration is complex and Financial Industry Regulatory Authority (FINRA) membership does not happen overnight, however the expert CXG Registration Services team can make the Rule 1017 – Change in Business process faster and smoother for you.
We will work hand-in-hand with you, successfully completing the membership application and submitting related documentation – a task that requires experience, precision, and diligence. CXG has experts who are knowledgeable about the process and can anticipate and overcome challenges, to keep registration moving to the finish line with minimal delays.
Our professional 1017-CMA services include:
- Providing licensed personnel (if needed)
- Personal consulting, including pre-interview
- Comprehensive audit to ensure fulfillment of all compliance requirements
- FINRA, SEC, and state registrations
- Business Plan, Continuing Education Needs Analysis, and Written Supervisory Policies & Procedures
- Regulation Best Interest (Reg. BI) & Form CRS
- Form U-4 and Form U-5 filing and amendments
- Form BD and Form BR filing and amendments
- FINRA Pre-Membership Interview preparation
- Liaison between you and your FINRA examiner, to anticipate additional documentation requests, respond quickly, and stay on track for final approval
Request a Consultation
Completing 1017’s are our specialty – Give us a call and we can provide you with a no-cost to you analysis. Our experience and knowledge of this process is what elevates our staff from the rest. Contact us today to learn more about how we can make your BD registration a success.
Broker Dealer Compliance:
Rule 1017 – Change In Business
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