FINRA Unscripted Podcast: Membership Application Program – Reviewing and Approving Digital Asset Firms
This is a summary of a recent FINRA podcast on Membership Application Program.
30
11, 2022
22
10, 2021
1017 Change in Membership Review
In our 1017 Change in Membership blog we discussed events [...]
15
10, 2021
1017 Material Change Determination
When a member intends to add a line of business, [...]
8
10, 2021
1017 Change in Membership
The Firm should review areas of its business to determine [...]
24
09, 2020
FINRA Continuing Membership Application (“CMA”)
When a broker-dealer implements a significant change in the strategies [...]
8
06, 2020
Benefits of Purchasing a Broker-Dealer
MasterCompliance has been assisting clients with the purchase or sale [...]
19
10, 2016
New Product Considerations for Broker-Dealers
What do you do when you add a new product [...]
28
06, 2016
Interim Restriction on Continuing Membership Application
The FINRA journey of changes in ownership and control for [...]
13
06, 2016
Continuing Membership Application
Initially, when a firm receives FINRA approval to become a [...]