SEC registrations

The SEC is focused on regulating the US securities markets and protecting investors. Firms that are required to register with the SEC include:

• Securities exchanges
• Securities brokers and dealers
• Investment advisers
• Mutual funds
• Attorneys, accountants; and transfer agents.

Helping you successfully register with the SEC

To ensure your application progresses smoothly and successfully, our experts will provide support to:

• Ensure you have a full understanding of the regulatory obligations applicable to your category and the application requirements prior to proceeding
• Draft the application pack and compile supporting documentation
• Review and edit relevant compliance procedures as required
• Help you to deal with SEC queries and provide detailed advice and guidance at every stage

Guiding you through the registration process

Our team provide a tailored support service with a dedicated relationship manager to guide you every step of the way. With backgrounds in law, in-house compliance, the SEC, NFA/CFTC, FINRA and other consultancies, we look beyond the rulebook to interpret requirements from many different angles. We know what the regulators expect from firms and we are on top of regulatory change. We have never had an application turned down.

While the registration process can differ depending on your category and business activities, the registration process can typically take between one to two months to prepare materials and a minimum of two months for the SEC to review and approve.

Key stages

• 1. Scoping and preparation

  After assessing the scope and agreeing the timetable of activities, we’ll review SEC registration requirements and exemptions to determine what status suits the firm’s business strategy.

  We’ll also review and discuss current processes to determine any impact of regulation and understand the individuals and entities that will need to be listed as principals and associated persons.

• 2. Preparing application materials

  We’ll prepare and create of user accounts for application submission, working with you to develop the Code of Ethics and Compliance Manual and review documentation, marketing materials, and disclosure documents, ensuring proper processes are in place to comply with US requirements.

• 3. Application submission

  We’ll collate and review the required application information, including relevant forms and filings, ensuring the application is received successfully

• 4. Satisfying compliance requirements

  We’ll help you meet the relevant regulatory obligations, ensuring your compliance procedures are aligned with SEC expectations before submission.

• 5. Further information requests and ongoing application monitoring

  Once submitted, we’ll support you in responding to SEC follow-ups and tracking the status of your application throughout the review period.

• 6. Final decision and approval

  Once your application meets the SEC’s requirements, registration becomes effective either automatically after a set period or upon formal acceleration by the SEC. If your submission is incomplete or deficient, the SEC will issue comments and request amendments. Registration is confirmed via a notice of effectiveness once all conditions are satisfied.