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The document is a comprehensive guide for applicants filling out the New Membership Application Form (NMA) for NASD membership. It outlines the necessary steps to create a self-registered account, access the form, enter required information, upload documents, and submit the application. Key features include instructions on navigating through the form, ensuring all questions are answered, and reviewing submissions before finalizing. Technical requirements for optimal performance are also provided.

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What is the difference between Form BD and ADV?

Form BD is used by broker-dealers to register with the Securities and Exchange Commission (SEC) and state securities authorities, while Form ADV is the registration form for investment advisers.

What is the form BD uniform application for broker-dealer registration?

The Form BD (Uniform Application for Broker-Dealer Registration) is used to register a broker-dealer with the SEC, SROs and jurisdictions. Firms can create and submit Form BD Amendment filings elec- tronically through Web CRD. Defined terms are italicized throughout the Forms BD.

When to amend form BD?

A firm is required to promptly update Form BD information by submitting amendments whenever the information on file becomes inaccurate or incomplete for any reason.

What is the full form of NMA in corporate?

NMA may refer to: National Management Association, American association for teaching leadership in business management. National mapping agency, organisation that produces topographic maps and geographic information of a country.

How to submit form BD?

FORM BD AND FILING FEE Checks should be made payable to Department of Financial Protection and Innovation and mailed with Form BD to Department of Financial Protection and Innovation, 2101 Arena Boulevard, Sacramento, CA 95834. Fees are not refundable except pursuant to Government Code Sections 13140-13144.

Does form BD need to be notarized?

Form BD must first be submitted electronically and then a signed and notarized copy of the form must be sent to FINRA.

How much is the FINRA nma fee?

Membership Fees The New Member Application (NMA) fee structure assesses fees ranging from $7,500 to $55,000 depending on the size of the new member applicant, as outlined in the tables below.

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