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.
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Related Resources:
What to Expect: Filing a Continuing Membership Application - Resource Guide (PDF 68 KB)
Interpretive Material 1011-1: Safe Harbor for Business Expansions
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