SR-FINRA-2012-018

Proposed Rule Change to Amend NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to Adopt New Standardized Electronic Form CMA

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 NASD Rules 1012 (General Provisions) and 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to adopt a new standardized electronic form, Form CMA, to be used by all continuing membership applicants as part of their continuing membership applications.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 1.85 MB
Federal Register NoticePDF - 199.68 KB
Extension No. 1PDF - 25.96 KB
Response to CommentsPDF - 587.08 KB
Amendment No. 1 to Proposed Rule ChangePDF - 38.5 KB
Approval OrderPDF - 200.82 KB