Registration Services

Broker Dealer Registration Services | Compliance Exchange Group

Broker Dealer Registration Services

Outsourcing your registration process with our CXG Broker Dealer registration services 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 Broker Dealer 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
  • Regulation Best Interest (Reg. BI) & Form CRS
  • 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

Request a Registration Consultation

Want to learn more about our registration services and solutions?

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.