Broker-Dealer Ownership Archives - Page 4 of 4 - Master Compliance

28 06, 2016

Interim Restriction on Continuing Membership Application

By admin|2016-06-28T09:57:55-04:00June 28, 2016|Broker-Dealer, Broker-Dealer Ownership, Continuing Membership Application|

The FINRA journey of changes in ownership and control for [...]

13 06, 2016

Continuing Membership Application
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Continuing Membership Application
Broker-Dealer, Broker-Dealer Ownership, Continuing Membership Application, FINRA

Continuing Membership Application

By admin|2016-06-13T10:27:42-04:00June 13, 2016|Broker-Dealer, Broker-Dealer Ownership, Continuing Membership Application, FINRA|

Initially, when a firm receives FINRA approval to become a [...]