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SR-FINRA-2021-020

Proposed Rule Change to Amend Form CMA (Continuing Membership Application Form) to Conform to Amendments to the Membership Application Program Rules as Described in SR-FINRA-2020-011

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend Form CMA (Continuing Membership Application Form) required under Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations) to conform to amendments to the Membership Application Program (“MAP”) rules  as described in File No. SR-FINRA-2020-011, which become effective on September 1, 2021; and (2) make non-substantive and technical changes to Form CMA.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 2.91 MB New
Federal Register Notice PDF - 248.42 KB