Compliance

Forms and Additional Documents

Retiring Form NMA (PDF 243 KB )

Note: The paper Form NMA cannot be used for applications filed on/after May 31, 2007. Beginning May 31, 2007, all new member applications must be submitted using the online Form NMA.

Form NMA online system (for filings using the retiring Form NMA)

Revised Form NMA (sample) (DOC 5827 KB)

Note: This copy of the revised 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 Revised Form NMA above.

New Membership Application Form NMA Participant Guide
(for revised Form NMA; PDF 467 KB )

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)

NOTICE: Effective December 1, 2009, Written Supervisory Procedure Checklists (“WSP Checklist”) provided in connection with a New Membership Application, Continuance in Membership Application, or Membership Agreement Change must be submitted on the version of the form contained in the link above. Membership applications submitted on or after December 1, 2009 containing a WSP Checklist prepared on any other form, including any other form previously approved by FINRA, will be deemed not substantially complete and will be rejected.

The Guide to Continuing Education Requirements (PDF 46 KB )

Securities Sales Activity Statement (PDF 5 KB )

Designation of Accountant Form (PDF 9 KB )

New Member Assessment Report (PDF 21 KB )

FINRA Annual Assessment Information (PDF 5 KB )

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

Recordkeeping Requirements (PDF 213 KB )

Systems Certification Form (PDF 6 KB )

Sample Attestation Letters (PDF 21 KB )

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Membership Decision