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How do I become a FINRA broker?

How to Apply Step 1: Reserve Your Firms Name. Step 2: Sign up for System Access. Step 3: Pay Your Application Fees. Step 4: Meet FINRAs Standards of Admission. Step 5: Submit Form BD Online. Step 6: Mail Hard-Copy Form BD. Step 7: Submit All Additional Required Forms. Step 8: Submit Fingerprints.

What is Form NMA?

The New Member Application Form (Form NMA) is used by FINRAs Membership Application Program (MAP) Group to assess whether an Applicant meets those standards. The form contains 12 sections modeled after the first 12 standards of FINRA Rule 1014.

How long does it take to get FINRA approval?

After receiving a New Membership Application, FINRA must review and process it within 180 calendar days. The following is a look at how the process works.

How long does it take FINRA to approve a name change?

After receiving a New Membership Application, FINRA must review and process it within 180 calendar days. The following is a look at how the process works.

What is form CMA?

A firm is under a continuing obligation to update changes to information about the firm. Broker-dealer firms must file a Form BD amendment and/or a Continuing Membership Application (Form CMA) depending on the type of registration information that requires updating.

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How many FINRA rules are there?

The ability to integrate rule content including the Summary Topics and Detailed Topics associated with the 40 rules into internal systems (i.e., compliance policies and procedures) through the FINRA rulebook API on the FINRA API Platform.

How long does FINRA approval take?

FINRA must review and process substantially complete applications within 180 calendar days. Learn what to expect after you apply, including how to amend an application and what to expect from the membership interview.

What is a FINRA CMA?

FINRA requires firms to file a continuing membership application (CMA) whenever they seek to expand or implement new ways of doing business. Firms also must file an application whenever they seek to modify or remove restrictions previously imposed in a membership agreement (a membership agreement change).

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