If you are considering starting your own broker/dealer, contact our team of experienced professionals for help. Read more ...
START-UP SERVICES/NEW MEMBER APPLICATION
All applicants for FINRA membership must use the online Form NMA and comply with FINRA Rule 1013 (New Member Application and Interview) as amended. Form NMA consists of eight major sections: General Information; Business Lines; Personnel; Net Capital and Sources of Funding; Contractual and Business Arrangements; Policies and Procedures; Facilities; Recordkeeping.
Taurus Compliance Consulting, LLC includes an experienced staff and network of lawyers, accountants and Registered Principals who can either assist the firm’s compliance officer or serve in a full capacity on behalf of the firm to complete the requirements of FINRA Rule 1013. Our services include but are not limited to:
Instructions on Using and Navigating Form NMA , as well as Guidance on Technical Issues:
For more information on how Taurus can partner with you, call us on 1-888-963-9519