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BUSINESS CHANGES/EXPANSION
If you have a Change in Ownership or a Material Change in Business Operations, you must file for approval with FINRA, pursuant to rule 1017. This process varies from the routine to the very complex. At BCG, we can create a 1017 filing tailored to any of your specific needs.
To discuss a 1017 filing with one of our expert consultants, please call us today.
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Start-Up Calculator |
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Brokerage Consulting Group has created an online tool for an immediate estimate for the start-up costs of a new broker/dealer. For a free, no obligation estimate, use our Start-Up Cost Estimate Calculator.
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Spotlight On Start-Ups |
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At BCG, we provide all the compliance services you'll need for a new Broker/Dealer start-up. From state registrations to detailed and fully compliant procedures, our expert staff will guide you through the entire process. Learn more about the start-up process here...
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