ARTICLE
22 October 2016

FINRA Continuing Membership Application Checklist

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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.

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