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Registration & Qualifications
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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
(PDF 492 KB
)
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 90 KB
)
FINRA Annual Assessment Information
(PDF 5 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
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