To create a direct market presence, many foreign financial institutions are now deciding to register and operate as licensed broker-dealers in the US itself. Summit has already assisted a number of firms in the Far East region through this process, which now enjoys the benefits of operating in the US capital markets from their local offices in American financial centers such as New York, San Francisco, Los Angeles, and Chicago.

Summit can assist you in the process of registration as a U.S. broker-dealer. Our consultants have experience working in the best securities law firms on Wall Street to personally guide you through the entire New Member Application (“NMA”) process, from the development of the initial business plan, all the way to registration with US regulatory bodies such as the SEC, FINRA, OCC, DTC, and more. Our seasoned team of Wall Street professionals will make the registration process easy and straightforward. Not only will Summit ensure your new firm is compliant with all applicable US regulations, but we can also assist you in sourcing licensed personnel and knowledgeable vendors at affordable prices. Thanks to our experienced team with direct industry know-how and connections, Summit can have your US operations up and running at record speed. Contact a Summit representative today.