Regulatory Notice 08-14

FINRA Implements New Electronic Form NMA Filing Requirement; Effective Date: February 29, 2008, Compliance Date: June 26, 2008

Executive Summary

Beginning June 26, 2008, all applicants for FINRA membership must use the revised online Form NMA and comply with NASD Rule 1013 (New Member Application and Interview) as amended. The rule change was filed for immediate effectiveness on February 29, 2008. The text of NASD Rule 1013 as amended is set forth in Attachment A.

Questions regarding this Notice may be directed to Matthew E. Vitek, Counsel, Sales Practice Policy, at (202) 728-8481; or Allison Reid, Associate Director, Next Generation Examinations Program, at (212) 858-4418.

Questions regarding technical requirements and the Form NMA may be directed to FINRA's Gateway Call Center at (301) 590-6500.

 

The New Membership Application Form NMA Guide referred to in this Notice is now available in the FINRA Firm Gateway.