Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview)

Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend online Form NMA, the standardized membership application form applicants must file pursuant to NASD Rule 1013 (New Member Application and Interview) as part of their new membership application.  The proposed change would restructure the content of existing Form NMA to more closely align the requested information and documentation with the manner in which the standards are presented in NASD Rule 1014 (Department Decision).

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 1.6 MB
Notice of Filing and Immediate EffectivenessPDF - 199.77 KB