ABOUT US
With a combined ownership team with over 50+ years of broker-dealer experience, 30+ regulatory licenses, on-staff counsel, and decades of experience in the field; Compliance Solutions of New York are the premier outsourced consultants for all your Broker-Dealer/AI compliance and supervision needs.
Whether you are starting you own broker-dealer from the ground floor up, filing a Change of Membership Application (CMA), or just need a point of reference; Compliance Solutions of New York has the expertise and relationships to drive your business in the right direction in a timely manner and at an affordable price.
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OUR SERVICES
Filing a New Membership Application (form NMA)/ Starting a New Broker Dealer
Starting a new broker/dealer can be a tremendous and egregious task. The process that is required to get a broker/dealer properly registered with FINRA is time consuming, expensive and burdensome without the proper resources and experience. At CSNY, our team of experienced consultants, teamed with on-staff counsel can handle the most onerous tasks required for the FINRA registration process for you, which will permit you to focus on the things that will allow your new broker/dealer to be a success from day 1.
Change in Ownership, Control or Business Operations (FINRA 1017 Filing
FINRA requires what is known as a 1017 filing any time a broker/dealer changes its ownership, control persons/entities or makes material changes to its business operations. The FINRA approval process can range from routine to very complicated, depending on the changes that are proposed by the broker/dealer. Our experiences team of experts and counsel can advise on the easiest course of action for your broker dealer to undertake.
Broker-dealer State Registration Services
Many firms do not have the time, resources, or expertise to handle the registration process for the broker/dealer in various states. Compliance Solutions of New York is equipped to handle all of your firm’s state registration needs. Each of the 52 jurisdictions has different registration requirements for broker/dealers and we can streamline the process and simplify it for you. Our consultants have the skills and experience necessary to register your broker/dealer quickly and efficiently in each of the 52 jurisdictions