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NMA/CMA/RIA Applications

End-to-end support taking your firm through FINRA and SEC registration — from the first filing to final approval.

What's included

  • FINRA New Membership Applications (NMA) for firms launching a broker-dealer
  • Continuing Membership Applications (CMA) for firms expanding into new business lines
  • RIA registration and state filings (SEC and state-level)
  • Regulatory narrative drafting and supporting documentation
  • Direct correspondence and follow-up with FINRA/SEC examiners

Who it's for

  • Firms building a new broker-dealer or advisory business from scratch
  • Existing firms expanding their license scope or business lines
  • Firms transitioning between state and SEC registration
1
Discovery call

We map your business model against what regulators will expect to see.

2
Gap assessment

We flag what's missing before it becomes an examiner comment.

3
Filing & follow-up

We draft, file, and manage the back-and-forth with FINRA/SEC.

4
Approval & onboarding

We help stand up the compliance program your new approval requires.

Ready to start your application?

Tell us where your firm is in the process and we'll map out what's left — whether that's a first filing or a Continuing Membership Application.

Schedule a Meeting Submit Your Info
Or email us directly at info@compliers.com