Checklist for Organizational Change: Important Steps Related to the Merger, Acquisition, or Succession Process

If your firm is undergoing a change in organization due to a merger, acquisition, or succession, 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 when undergoing such a change. Please note that this list focuses primarily on FINRA regulations, contacts, and systems such as: Report Center, Web CRD®, IARDSM, Regulation Filing Applications, and FINRA Contact System.

Download the checklist in Microsoft Word (MS Word 54 KB)

Download the checklist in PDF (PDF 54 KB)