Experienced professionals assisting broker-dealer and registered investment adviser clients with membership applications, regulatory issues and inquiries, and compliance.
Experienced professionals assisting broker-dealer and registered investment adviser clients with membership applications, regulatory issues and inquiries, and compliance.
Diles Consulting is pleased to share that another client has recently obtained FINRA membership approval. Our company provided comprehensive support to this
client during the New Membership Application (NMA) process, from initial filing through the welcome letter, offering guidance along the way.
Diles Consulting offers flexible support tailored to each firm's needs. For firms starting from the ground up, our company provides full-service assistance,
including development of written supervisory procedures, compliance manuals, and other policy documentation. For firms that already have manuals and compliance
personnel in place, Diles Consulting can instead focus on application assembly, helping ensure materials are organized and aligned with FINRA's requirements.
Firms interested in learning more about the FINRA Membership Application Program (MAP) support are encouraged to reach out to the Diles Consulting team.