ARTICLE
22 October 2016

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
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Originally published by LexisNexis

Ernest E. Badway, Joshua Horn and Benjamin H. McCoy authored the LexisNexis article, "FINRA Continuing Membership Application Checklist."

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ARTICLE
22 October 2016

FINRA Continuing Membership Application Checklist

United States Corporate/Commercial Law
Contributor
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