Registrations

We Register Investment Advisers, Broker-Dealers, Crowd Funding Portals, Futures Commission Merchants, and Money Transmitter Businesses.

Launch Your Registered Firm In As Little As 90 Days!

  • Build Your Adviser Business with Ease, from Start to Finish.

    • Are you ready to establish your Investment Adviser business but are overwhelmed by the complex regulatory requirements and procedural intricacies? Adviser in a Box™ services are designed to build your Investment Adviser firm from the ground up within 90 days.

    • Adviser in a Box™ is a comprehensive, end-to-end solution that simplifies creating an Investment Adviser business.

    • Our team of experts handles everything from initial setup to regulatory approvals, ensuring your Investment Adviser firm is fully operational and compliant with all industry standards in just three months.

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  • Launch Your Broker-Dealer in 90 Days, Hassle-Free.

    • Are you ready to establish your Broker-Dealer but are overwhelmed by the complex regulatory requirements and procedural intricacies? Our Broker Dealer in a Box™ services are designed to build your Broker-Dealer from the ground up within just 90 days.

    • Broker Dealer In A Box™ is a comprehensive, end-to-end service that simplifies registering a Broker-Dealer.

    • Our team of experts handles everything from initial setup to regulatory approvals, ensuring your Broker-Dealer is fully operational and compliant with all industry standards in just three months.

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  • Simplifying Regulation, Amplifying Crowdfunding Success.

    • CrowdFund360™ is a comprehensive service offered by GiGCXOs to assist firms in registering and launching a Crowdfunding Portal in compliance with SEC and FINRA regulations under Regulation Crowdfunding (Reg CF). This turnkey solution ensures that businesses meet all regulatory, operational, and technical requirements to operate a compliant and efficient crowdfunding platform.

  • Your Gateway to CFTC and NFA Compliance for Futures Trading Success.

    • FuturesCompli360™ is a comprehensive project offering designed to assist firms in registering as a Futures Commission Merchant (FCM) with the Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA).

    • We provide expert guidance to navigate the regulatory landscape and meet all compliance requirements for operating in the futures market.

  • Empowering Cryptocurrency Compliance Across All States and Territories.

    • CryptoCompli360™ is a turnkey solution designed to help firms navigate the complex regulatory landscape of becoming a licensed Money Services Business (MSB) and obtaining Money Transmitter Licenses (MTLs) to manage cryptocurrencies (virtual currencies) across all 50 U.S. states and 3 territories.

Adviser In A Box™

Simplifying Your Investment Adviser Path to Success.

    • Free 60-minute Consultation: Determine the correct regulatory path for your firm.

    • Personalized Strategy: We start with a detailed consultation to understand your business goals and develop a tailored strategy for your Broker-Dealer or Investment Adviser.

    • Regulatory Roadmap: Our experts clearly outline all regulatory requirements and milestones.

    • Staff Training: Comprehensive training programs for your team to ensure they are fully prepared to operate within the regulatory framework.

    • Ongoing Support: Continuous support and guidance throughout the initial setup phase and beyond, ensuring smooth operation and regulatory compliance.

    • Form ADV Filing: We file the Form ADV for you based on your Investment Adviser status. Whether you are an Exempt Reporting Adviser (ERA), Internet Adviser, or Registered investment Adviser (RIA), we have you covered.

    • Follow-Up and Liaison: Our team liaises with regulatory bodies, promptly addressing any queries or additional information requests.

    • Systems and Processes: We set up the essential operational systems and processes, including regulatory platforms, customer account management, and record-keeping systems.

    • Cybersecurity and IT: Implement top-tier cybersecurity measures and IT infrastructure to protect your business and client data.

    • Let us connect you with cutting-edge Investment Adviser platforms that leverage AI to reduce your workload and enable you to grow your business quickly.

Broker Dealer In A Box™.

Your All-in-One Solution for Building a Broker-Dealer.

    • Compliance Program Design: We design and implement a robust compliance program tailored to your business model, covering all aspects of regulatory compliance.

    • Chief Compliance Officer (CCO) Services: Access fractional CCO services to oversee your compliance framework and ensure ongoing FINRA and SEC regulations adherence.

    • Free 60-minute Consultation: Determine the correct regulatory path for your firm.

    • Personalized Strategy: We start with a detailed consultation to understand your business goals and develop a tailored strategy for your Broker-Dealer.

    • Regulatory Roadmap: Our experts clearly outline all regulatory requirements and milestones.

  • New Membership Application (NMA)

    • Application Preparation: We prepare and file your New Membership Application (NMA) with FINRA, ensuring all necessary documentation is accurate and complete.

    • Follow-Up and Liaison: Our team liaises with regulatory bodies, promptly addressing any queries or additional information requests.

    • Systems and Processes: We set up the essential operational systems and processes, including regulatory platforms, customer account management, and record-keeping systems.

    • Cybersecurity and IT: Implement top-tier cybersecurity measures and IT infrastructure to protect your business and client data.

    • Let us connect you with the cutting edge Broker-Dealer platforms that leverage AI to reduce your workload and enable you to grow our business quickly.

CryptoSecure360™

Bringing Clarity to U.S. Cryptocurrency Regulatory Compliance.

    • Expert guidance on meeting regulatory requirements specific to cryptocurrencies (virtual currencies).

    • Detailed frameworks and checklists to ensure adherence to Money Services Business registration via the NMLS system.

    • Expert guidance on money transmitter business (MTB) requirements and implementation.

    • Regulatory band business risk assessments based on regulatory strategy.

    • Detailed reviews of trading, custody, and AML practices to align with individual U.S. state money services business standards for transacting in cryptocurrencies (virtual currencies).

    • A tailored advisory on navigating federal and state laws, outlining distinctions between cryptocurrencies and digital securities.

    • Assistance in determining the classification of assets under Banking Laws, SEC, and FINRA guidelines, helping firms establish a clear compliance path.

    • Educational sessions to keep staff and stakeholders informed about evolving regulatory expectations for a money services business with money transmitter licenses.

    • Comprehensive resources to help staff understand and implement compliant practices.

For cryptocurrencies, GiGCXOs will register your firm as a Money Services Business in all 50 States and Territories and aid you with ongoing money transmitter operations and compliance obligations.

DigitalDealer360™

Start Your Broker-Dealer Journey with Confidence.

    • Preparation for SEC and FINRA audits with a focus on digital securities operations

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    • Development of policies and procedures specific to digital securities, including custody, trading, and reporting.

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    • Annual and quarterly reviews to ensure continuous compliance with SEC and FINRA rules.

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    • Assistance with FINRA membership application as a Special Purpose Broker-Dealer.

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    • Support for integrating custody solutions for digital securities, ensuring compliance with SEC requirements for safeguarding customer assets.

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    • Customized training programs for executives and staff on SPBD operations, digital securities regulations, and risk management.

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FuturesCompli360™

Your Gateway to CFTC and NFA Compliance for Futures Trading Success.

    • Pre-audit reviews and preparation for CFTC and NFA inspections.

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    • Creation of policies and procedures tailored to FCM operations, including segregation of customer funds, record-keeping, and daily reporting.

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    • Comprehensive training for executives and staff on FCM-specific regulations and operational requirements.

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    • Assistance with annual compliance certifications and updates to policies and procedures.

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    • Preparation and submission of Form 7-R and related filings to the CFTC and NFA.

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    • Deployment of trade surveillance systems to monitor futures trading activities for compliance breaches.

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Comprehensive Support, From Concept to Compliance.