Compliance Consulting
Compliance Consulting
Regulatory Compliance Registrations and Licensing Services
We bring our experience to help achieve your firm's registration and licensing goals.
Navigating the complexities of regulatory registrations and licensing can be daunting.
Does your company require a regulatory license or registration? InnReg has supported dozens of clients on their journey to becoming regulated entities, securing regulatory approvals for broker-dealers, registered investment advisors (RIAs), alternative trading systems (ATS), money transmitters and lenders.
How It Works
How It Works
Our Registration and Licensing Processes
Our Registration and Licensing Processes
Broker-Dealer Registration
For firms navigating the FINRA New Member Application (NMA) and Continuining Membership Application (CMA) processes, we offer expert guidance in preparing and filing Form BD, Forms U-4 and U-5 for registration of principals and representatives. Our services extend to drafting your Business Plan and developing a robust supervisory system, including written supervisory procedures, helping you meet all regulatory expectations from the outset.
Broker-Dealer Registration
For firms navigating the FINRA New Member Application (NMA) and Continuining Membership Application (CMA) processes, we offer expert guidance in preparing and filing Form BD, Forms U-4 and U-5 for registration of principals and representatives. Our services extend to drafting your Business Plan and developing a robust supervisory system, including written supervisory procedures, helping you meet all regulatory expectations from the outset.
Broker-Dealer Registration
For firms navigating the FINRA New Member Application (NMA) and Continuining Membership Application (CMA) processes, we offer expert guidance in preparing and filing Form BD, Forms U-4 and U-5 for registration of principals and representatives. Our services extend to drafting your Business Plan and developing a robust supervisory system, including written supervisory procedures, helping you meet all regulatory expectations from the outset.
RIA Registration
For investment advisors seeking SEC or state registration, our comprehensive service includes drafting Form ADV Parts 1, 2A, and 3, developing Form ADV Part 2B, and creating a customized Compliance Manual. This also encompasses the development of a Customized Code of Ethics, aligning your firm’s culture with compliance best practices and regulatory requirements.
RIA Registration
For investment advisors seeking SEC or state registration, our comprehensive service includes drafting Form ADV Parts 1, 2A, and 3, developing Form ADV Part 2B, and creating a customized Compliance Manual. This also encompasses the development of a Customized Code of Ethics, aligning your firm’s culture with compliance best practices and regulatory requirements.
RIA Registration
For investment advisors seeking SEC or state registration, our comprehensive service includes drafting Form ADV Parts 1, 2A, and 3, developing Form ADV Part 2B, and creating a customized Compliance Manual. This also encompasses the development of a Customized Code of Ethics, aligning your firm’s culture with compliance best practices and regulatory requirements.
Money Transmitter Registration
Navigating the complex landscape of state and federal regulations for money transmitters, our team provides comprehensive support for businesses seeking licensure. From initial assessments to determine jurisdictional requirements to preparing and filing necessary applications, including the NMLS (Nationwide Multistate Licensing System) forms, we guide you through every step.
Money Transmitter Registration
Navigating the complex landscape of state and federal regulations for money transmitters, our team provides comprehensive support for businesses seeking licensure. From initial assessments to determine jurisdictional requirements to preparing and filing necessary applications, including the NMLS (Nationwide Multistate Licensing System) forms, we guide you through every step.
Money Transmitter Registration
Navigating the complex landscape of state and federal regulations for money transmitters, our team provides comprehensive support for businesses seeking licensure. From initial assessments to determine jurisdictional requirements to preparing and filing necessary applications, including the NMLS (Nationwide Multistate Licensing System) forms, we guide you through every step.
ATS Platforms Registration
Specializing in the registration of Alternative Trading Systems (ATS) with the SEC and FINRA, our team offers expert advice and support in the preparation of Form ATS and navigating the complex regulatory environment.
ATS Platforms Registration
Specializing in the registration of Alternative Trading Systems (ATS) with the SEC and FINRA, our team offers expert advice and support in the preparation of Form ATS and navigating the complex regulatory environment.
ATS Platforms Registration
Specializing in the registration of Alternative Trading Systems (ATS) with the SEC and FINRA, our team offers expert advice and support in the preparation of Form ATS and navigating the complex regulatory environment.
Lender Registration
Our team simplifies the lender registration process, guiding you through state regulations and handling all necessary documentation to meet licensing approval standards.
Lender Registration
Our team simplifies the lender registration process, guiding you through state regulations and handling all necessary documentation to meet licensing approval standards.
Lender Registration
Our team simplifies the lender registration process, guiding you through state regulations and handling all necessary documentation to meet licensing approval standards.
Benefits
Facilitate Your Firm's Registration with InnReg
Unlock the full potential of your firm with InnReg's expert registration and licensing services. Our tailored approach not only simplifies the complex process of regulatory compliance but also positions your firm for strategic growth and operational efficiency.
Streamline Your Registration Process
Navigate the intricacies of licenses and registrations with ease, thanks to our expert guidance on essential filings and documentation.
Streamline Your Registration Process
Navigate the intricacies of licenses and registrations with ease, thanks to our expert guidance on essential filings and documentation.
Get Custom Compliance Solutions
Receive tailored compliance programs that align with your unique business model and regulatory requirements.
Get Custom Compliance Solutions
Receive tailored compliance programs that align with your unique business model and regulatory requirements.
Enhance Your Policies
Protect your firm with comprehensive policies and procedures that align with strict regulatory standards.
Enhance Your Policies
Protect your firm with comprehensive policies and procedures that align with strict regulatory standards.
Check Out Sample Team Profiles
Benefits
Facilitate Your Firm's Registration with InnReg
Unlock the full potential of your firm with InnReg's expert registration and licensing services. Our tailored approach not only simplifies the complex process of regulatory compliance but also positions your firm for strategic growth and operational efficiency.
Streamline Your Registration Process
Navigate the intricacies of licenses and registrations with ease, thanks to our expert guidance on essential filings and documentation.
Get Custom Compliance Solutions
Receive tailored compliance programs that align with your unique business model and regulatory requirements.
Enhance Your Policies
Protect your firm with comprehensive policies and procedures that align with strict regulatory standards.
Frequently Asked Questions on Registrations and Licensing
Frequently Asked Questions on Registrations and Licensing
What makes InnReg different in handling registrations and licensing?
What makes InnReg different in handling registrations and licensing?
How does InnReg support broker-dealers in the FINRA NMA process?
How does InnReg support broker-dealers in the FINRA NMA process?
What are the first steps in the RIA registration process with InnReg?
What are the first steps in the RIA registration process with InnReg?
How does InnReg support money transmitter licensing?
How does InnReg support money transmitter licensing?
What does InnReg offer for ATS registration?
What does InnReg offer for ATS registration?
How does InnReg simplify lender registration?
How does InnReg simplify lender registration?
Embarking on a registration journey for your firm? Reach out for expert guidance and tailored solutions that align with your strategic goals.
Explore Our Related Services
Explore Our Related Services
Empower Your Fintech with Expert Compliance
Empower Your Fintech with Expert Compliance
Empower Your Fintech with Expert Compliance
Ready to chat about your compliance needs with a team of fintech regulation experts? Get in touch today!
Ready to chat about your compliance needs with a team of fintech regulation experts? Get in touch today!
Ready to chat about your compliance needs with a team of fintech regulation experts? Get in touch today!
© 2024 InnReg LLC
1101 Brickell Avenue
South Tower, 8th Floor
Miami, FL 33131
© 2024 InnReg LLC
1101 Brickell Avenue
South Tower, 8th Floor
Miami, FL 33131