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Capital-markets registration · 5 coordinated workflows

Securities, Commodities & Regulated Markets

Broker-dealer, adviser, private-offering, NFA/CFTC and prediction-market workstreams coordinated across firm and individual filings.

Connect sources and start →Skip connectors · start manually

One canonical company and people passport serves every compatible workflow below.

Verified regulatory passportEntity · owners · people · evidence
Broker-DealerInvestment AdvisersPrivate OfferingsNFA / CFTCPrediction Markets

Choose the required outcome

One category. Multiple regulatory paths.

Selecting a path changes the evidence, authority and QA view without sending you to another marketing page.

Broker-Dealer Registration

Everything this path needs—without another intake.

Workflow outputs

  • Registration path
  • Ownership and control packet
  • Supervisory document inventory
  • Form workstreams
  • Deficiency tracker

Evidence focus

  • Business lines
  • Capital plan
  • Supervisory system
  • Principals
  • Disclosures
FINRANew member applicationSEC and state securities regulatorsFederal and state registration
Question-level deduplicationConnector discoveryPrivate stakeholder roomsAdaptive next questionSource-change monitoringSequenced filings

Category-wide economies of scale

Verify once. Recompile everywhere.

entityownershippeoplefinancialsdisciplinepoliciesclientsofferingjurisdictionsproductcontrolscustomers