1017 – Change in Business

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 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
  • 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

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.

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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