1017 – Change in Business

Rule 1017 – Change in Business | CMA Services | Compliance Exchange Group

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.

Book an appointment with one of our highly trained professionals to discuss your specific registration and compliance requirements.

Or call us at 631-595-5305.

Disclaimer: The information provided on this website is for general informational purposes only. It is not intended to constitute legal advice or to substitute for the advice of a qualified legal professional. We make no representations or warranties of any kind, express or implied, about the completeness, accuracy, reliability, suitability, or availability with respect to the website or the information, products, services, or related graphics contained on the website for any purpose. It is advisable to seek the advice of a qualified legal professional regarding your specific legal situation or questions.