Change in Membership Archives - Master Compliance

22 10, 2021

1017 Change in Membership Review
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1017 Change in Membership Review
Broker-Dealer, Broker-Dealer Ownership, Continuing Membership Application, FINRA, Rules and Regulations

1017 Change in Membership Review

By admin|2021-10-22T16:23:59-04:00October 22, 2021|Broker-Dealer, Broker-Dealer Ownership, Continuing Membership Application, FINRA, Rules and Regulations|

In our 1017 Change in Membership blog we discussed events [...]

15 10, 2021

1017 Material Change Determination
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1017 Material Change Determination
Broker-Dealer, Broker-Dealer Ownership, Continuing Membership Application, FINRA, Rules and Regulations

1017 Material Change Determination

By admin|2021-10-15T16:31:51-04:00October 15, 2021|Broker-Dealer, Broker-Dealer Ownership, Continuing Membership Application, FINRA, Rules and Regulations|

When a member intends to add a line of business, [...]

8 10, 2021

1017 Change in Membership
Gallery
1017 Change in Membership
Broker-Dealer, Broker-Dealer Ownership, Continuing Membership Application, FINRA, Rules and Regulations

1017 Change in Membership

By admin|2021-10-08T14:30:51-04:00October 8, 2021|Broker-Dealer, Broker-Dealer Ownership, Continuing Membership Application, FINRA, Rules and Regulations|

The Firm should review areas of its business to determine [...]