FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications
(CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
Corporate/Commercial Law
Originally published by LexisNexis
Ernest E. Badway, Joshua Horn and Benjamin H. McCoy authored the
LexisNexis article, "FINRA Continuing Membership Application
Checklist."
View the article here.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.