Continuing Membership Applications

If your firm has a change in ownership and/or control, needs to add new and significant lines of businesses, or plans to increase the number of registered representatives and/or branch offices beyond your Membership Agreement and related safe harbors, 1st BridgeHouse can assist you in the appropriate filing(s) to obtain approval from FINRA .

Before filing the Rule 1017 application, we will advise you about any necessary requirements to be met before the filing, write any new procedures for new business lines, and act as your liaison with FINRA. Each Rule 1017 filing is different, so we will guide you through the requirements for your particular situation. Some filings are quite simple, but others can be almost as complicated as a membership application. 1st BridgeHouse has extensive experience in a variety of filings, allowing us to help you prepare for FINRA's follow-up requests. 1st BridgeHouse will be with you every step of the way, ensuring that your filing is completed as efficiently as possible.