Services > StartUps
Starting your own firm can be a frightening undertaking, but one that can pay off dramatically both monetarily and emotionally. We at FSC have the necessary expertise and experience to lead you through the process and make the filing of required forms and plans as seamless as possible.
For Broker/Dealers and RIAs:
- Preparation of all the underlying requirements for and completion of the Online Form NMA
- Completion and submission of Form BD
- Individual Licensing and Registrations
- Completion and submission of the New Member Assessment Report
- Completion and submission of the Security Sales Activity Statement
- Completion and submission of the CRD Entitlement Forms
- Completion and submission of Fingerprint cards
- Preparation of your business plan
- Development of a continuing education program including written training plans and needs analysis
- Development of custom Written Supervisory Procedures, closely tailored to business model and supervisory structure (as required by FINRA), including sales practices for retail and institutional brokerage, insider trading, electronic communications, research, trade reporting, supervisory controls, etc.
- Application for fidelity bond
- Application for your DTCC FINS number.
- Registration with the SEC Lost and Stolen Securities Program
- Initial brokerage accounting consulting, including net capital computation
- Development of a business continuity plan
- Clearing firm selection, negotiation, and implementation
- Assistance in routine regulatory inquiries and examinations, sweeps
- Support during for cause examination and enforcement investigations
- Preparation for, and attendance of, FINRA membership interview
- Development of an anti-money laundering program
In addition, if you are starting an RIA firm:
- Preparation and submission of Form ADV
- Preparation of Form ADV Part II
- Preparation of custom IA Compliance procedures and Code of Ethics, closely tailored to business model and supervisory structure
