|
|
Registration & Qualifications
|
|
|
|
|
|
|
 |
|
Registration Information |
-
How to Become a Member
How to Become a Member of FINRA provides basic guidance for applicants preparing to seek membership in FINRA, including a description of the various filing and qualification requirements, and the admission standards, that must be satisfied before FINRA membership is granted.
-
A Guide to Areas of Inquiry in Continuing Membership Applications and Applications to Remove or Modify Restrictions
The Guide to Areas of Inquiry in Continuing Membership Applications and Applications to Remove or Modify Restrictions (the "Guide") is intended to assist existing FINRA member firms in preparing applications under Rule 1017 (applications for removal or modification of restrictions, and continuing membership applications, including applications for approval of changes in ownership, control, or operations). The Guide provides valuable insights, organized by specific subject matter, into the information that FINRA staff can be expected to consider in evaluating Rule 1017 applications.
-
Annual Audit
Securities and Exchange Commission (SEC) Rule 17a-5 requires that members of the Association file with FINRA Principal Office of the designated examining authority an Annual Audited Report not more than 60-calendar days after the date selected for their fiscal year end. View essential information needed to complete the Annual Audited Reports.
-
Checklist for Organizational Change: Mergers, Acquisitions, and Successions
If your firm is undergoing an organizational change, it may affect the ways in which you interact with FINRA, such as your membership application and system-related privileges. In order to make your firm's transition easier, we have compiled a checklist of steps to consider.
|
|
|
