What to Expect: Filing a Change in Membership Application

This webcast focuses on the process for filing Continuing Membership Applications. This process protects investors by ensuring that a firm’s supervisory and compliance procedures keep pace with any plans to expand or implement new ways of doing business.

 

Learn what FINRA expects of you and what to expect from FINRA when submitting a Continuing Membership Application. The webcast also provides background on the process for review and approval. This is part of the "What to Expect" webcast series, which was created to take the mystery out of FINRA's regulatory processes.

 

View Webcast   Related Resources:   What to Expect: Filing a Continuing Membership Application - Resource Guide (PDF 99 KB)   Continuing Membership Guide   CMA Checklist   District Offices   CMA FAQ   FINRA Coordinator Program   NASD Rule 1017   NASD Rule 1014   FINRA Rule 2110   Interpretive Material 1011-1   Notice to Members 06-56   Notice to Members 04-10   Notice to Members 00-73   Audio-Only Version (podcast)   Podcast - Filing a CMA (Part 1): When to file   Podcast - Filing a CMA (Part 2): How to file   Podcast - Filing a CMA (Part 3): What happens after you file   Contact Us

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