Registering with FINRA or Financial Industry Regulatory Authority is a very important task for a financial institution. Companies that are not a member of FINRA are not able to get themselves regulated and thus do not qualify for SEC registration. However, getting this registration requires a great deal of groundwork, which can be difficult and time consuming.
Getting help from a company that offers regulatory compliance solutions can prove to be a good option for a firm,
both financially and in time savings for your staff.
At RegTec, we offer Broker-Dealers services for companies that need to become registered with FINRA. We can help you with the paperwork and all the procedural work required for registration. We have an honest, hardworking staff that is committed to providing you the best possible services. We do everything discreetly and make sure that you get the FINRA registration as soon as possible.
There are a number of other services that we offer to you as part of our Broker-Dealers service, including books maintenance, employee reviews, and development of supervisory procedures. Our Broker-Dealers services are available for both FINRA and non-FINRA members.
If you are looking to become a member of FINRA or become registered with the SEC, then let RegTec save you time and exasperation by taking advantage of our Broker-Dealers service.