FINRA New Membership Application
Becoming a member of FINRA, your firm is required to submit a FINRA New Membership Application (NMA).
Goldcrest Consulting Services, LLC, a licensed FinOp can identify professionals providing the following:
- Apply for and obtain approval of your firm’s name,
- Complete and submit hardcopy forms to FINRA including the Form BD,
- Super Account Administrator Entitlement Form,
- E-mail Notification Contact Form,
- New Assessment Report,
- Access Firm Gateway to review the Membership Application,
- Complete and submit Forms U-4 and BR,
- Complete and submit Form NMA,
- Monitor the application process and respond to FINRA inquiries,
- Act as a liaison between you and the FINRA examiner
FINRA Continuing Membership Application
Whenever your firm changes its ownership, control or business operations, FINRA requires the firm to file a Change in Membership Application (CMA). We can identify professionals providing the following:
- FINRA Continuing Membership Application
- Ensure the application meets NASD Rule 1014 standards
- Liaise with FINRA’s Membership Application Program Department