Our extensive experience with start-up broker-dealers allows our clients to leverage many decades of intelligence and skill which we bring to each New Member Application (“NMA”) we prepare. Since we handle all aspects of the NMA process, our clients can remain focused on doing what they do best.
Examples of start-up services include:
- Corporate Structuring
- Preparation and submission NMA
- Liaising with regulators during the NMA period
- Development of business controls, tools and policies to ensure compliant automation
- Support for integration of clearing, trading and reporting systems
- Development of comprehensive compliance, operations and risk oversight tools
- Introductions to/negotiations with clearing firms, technology vendors, attorneys, accountants, personnel, et. al.
- Training of personnel
- Books and records setup
At Sutton, we take great care and pride in each application for membership we prepare, offering full access to our team of consultants throughout the process until such time as you receive final determination of membership from FINRA.