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SR-FINRA-2020-028

Proposed Rule Change to Amend Form NMA and Form CMA to Conform to Amendments to the Membership Application Program Rules as Described in SR-FINRA-2019-030

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend the standardized membership application forms — Form NMA (New Membership Application Form) and Form CMA (Continuing Membership Application Form) — required under Rule 1013 (New Member Application and Interview) and Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations), respectively, to conform to amendments to the Membership Application Program (“MAP”) rules as described in File No. SR-FINRA-2019-030;  and (2) make non-substantive and technical changes to Form NMA and Form CMA.   

Title Format - Size Status
Text of the Proposed Rule Change PDF - 1.07 MB
Notice of Filing and Immediate Effectiveness PDF - 132.7 KB