BUSINESS BROKER REGISTRATION COMPLIANCE
SERVICES
Navigating the regulatory landscape of business brokerage can be complex, but we’re here to help! Our Business Broker Registration & Compliance Services ensure that brokers meet all state and federal requirements, allowing them to operate legally and efficiently.
Our Services Include:
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Business Broker Registration: Assistance with registering as a broker with the Texas State Securities Board (TSSB).
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Securities Compliance: Guidance on Broker-Dealer and Agent registration, including Form BD and Form U4 filings.
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Exemptions & Licensing: Helping brokers determine if they qualify for exemptions such as the M&A Broker Exemption or Finders Exemption.
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Ongoing Compliance: Annual renewals, reporting, and updates to ensure continued compliance with securities laws.
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Why Choose Us?
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Expert knowledge of state and federal securities regulations
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Personalized compliance solutions tailored to your brokerage needs
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Streamlined process to get you registered quickly and efficiently
How We Price Our Registration Services
Our registration services are based on the complexity of your Firm's business model, as well as its regulatory jurisdiction. You can expect a quote to range from $2,000 to $5,000.
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Reach Out to Us
To get in touch, please fill out the contact form below, and one of our dedicated team members will get back to you as soon as we can.