Broker-Dealer Registration & Launch Support
End-to-end support for FINRA membership, SEC broker-dealer registration, and state Blue Sky filings.
Your Path to BD Registration
Standing up a broker-dealer is a multi-track project. FINRA New Member Application (NMA), SEC Form BD, state Blue Sky filings, principal registrations, WSPs, AML program, and net capital planning all need to line up before you can open for business.
NextReg manages the entire launch, from business plan drafting through membership interview support, so your BD opens with a compliance foundation that holds up under FINRA and SEC exam.
Whether you are launching a retail BD, an institutional BD, or a fintech-driven brokerage, we tailor the registration to your business model and revenue lines.
Complete Documentation
Business plan, WSPs, AML program, and every FINRA and SEC form prepared to institutional standards.
Membership Support
FINRA membership interview preparation, information request response, and negotiation support.
Realistic Timeline
FINRA NMA typically takes 6 to 9 months. We plan around that timeline and keep the file moving.
What's Included in BD Registration
Everything you need to launch your broker-dealer correctly
Regulatory Filings
- SEC Form BD
- FINRA New Member Application (Form NMA)
- State Blue Sky filings
- Form U4 filings for principals and reps
- Fingerprint card coordination
- SIPC and FINRA membership fees
Supervisory & Compliance Program
- Written Supervisory Procedures (WSPs)
- AML program and customer identification
- Regulation Best Interest program
- Form CRS drafting
- Continuing education plan
- Books and records framework
Business Setup
- Business plan drafting
- Net capital and financial planning
- Clearing and custody arrangement review
- Vendor due diligence
- Cybersecurity program
- Business continuity plan
Post-Registration Support
- First-year compliance guidance
- FINRA rule change notifications
- Ongoing WSP updates
- Cycle exam preparation
- Continuing education administration
- Ongoing CCO consultation
Ready to Launch Your Broker-Dealer?
Schedule a consultation to scope your BD launch and timeline.
Schedule Consultation