Forms and Additional Documents

Form NMA  (sample) (PDF 1.79 MB)

Note: This copy of the Form NMA is for reference purposes only. To access the revised Form NMA for completion and submission, the Applicant must first obtain entitlements as described in the Process for Filing Applications Using the Form NMA above.

 

FINRA District Offices

 

Abbreviations and Acronyms

 

FINRA Standards for Admission

 

Membership Rules Reference

 

FINRA Application Fees

 

The Business Plan

 

Form U4 Checklist

 

Form BD Checklist

 

Qualification Exam Programs

 

Written Supervisory Procedures Checklist (XLS 144 KB)

 

The Guide to Continuing Education Requirements (DOC 53 KB )

 

Designation of Accountant Form (PDF 9 KB )

 

New Member Assessment Report and Annual Assessment Information (PDF 21 KB )

 

Application for Approval of Option Exercise Assignment (PDF 8 KB )

 

Recordkeeping Requirements (PDF 213 KB )

 

Suggested Formats for Books and Records (PDF 46 KB )

 

Systems Certification Form (PDF 6 KB )

 

Sample Attestation Letters (PDF 21 KB )