After receiving a substantially complete application package, FINRA must review and process it within 180 calendar days.
« Previous: How to ApplyThe Membership Application Program (MAP) Group conducts an initial assessment of each New Member Application (NMA). After receiving a New Membership Application, FINRA must review and process it within 180 calendar days.The following is a look at how the process works.Preliminary Review Evaluate Against Standards for AdmissionAmendments to an ApplicationMembership
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend through December 31, 2006, the current pilot price-improvement standards for decimalized securities contained in NASD Interpretive Material 2110-2, Trading Ahead of Customer Limit Order ("Manning Rule").
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 adopt a FINRA policy to expand disseminated Transaction Reporting and Compliance Engine ("TRACE") data to show, for each
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