Broker Dealer
Licensing & Registration

Start Your New Business in Compliance

Starting a new business? Need help knowing how to make sure you’ve got all your bases covered? Cobia can help:

When starting a new business, the endless landscape of acronyms like CRD, IARD, and ADV can be overwhelming. Cobia Compliance can help you safely navigate the rules and regulations of the financial services industry and feel confident that your business is getting started on the right foot.

Cobia’s team of professional compliance associates stands ready to assist you with the most basic setup items such as establishing your CRD account to completing your application for membership or getting your representatives properly registered.

Licensing and Registration Services
  • Form BD – We will provide support to electronically file your Form BD on FINRA WebCRD and we will file updates as required. We will monitor regulatory changes and report to you when the Form BD needs to be reviewed and updated. We will open Registered Branch offices and make amendments as necessary.
  • Form ADV – Cobia will assist you in establishing and updating Form ADV1A, 2A, and Form CRS.
  • FINRA Form U4/U5 – Have you added or terminated an employee? Cobia can assist with initial U-4 and Form NRF filings as well as amendments. We will also file any needed Form U-5’s for terminated employees.
  • FINRA 4530 Filings – We will process the firm’s 4530 filings. We would work with your firm to gather the necessary information and promptly file 10-day and/or quarterly filings.
  • Annual FINRA/IARD Renewals – We will assist in processing year end FINRA/IARD renewals.
  • Rule 1017 – Adding a new line of business or need to know if your new business is “material.” Cobia can assist in Rule 1017 Membership Change Applications as well as Materiality Consultation Letters.