FINRA-NASD Rule 1017 Applications

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Navigate FINRA Continuing Membership Application with Expert Assistance. 

Changing Ownership?  New Business Operations? Expanding Beyond Membership Agreement?

Changing broker-dealer products, adding new representatives or branches, changing your firm’s ownership structure and other material changes require filing a Continuing of Membership Application (CMA) with FINRA, pursuant to NASD Rule 1017. Regulatory Compliance can guide you through this daunting process.

Precise CMA Application Filing Process

FINRA determines if the change is material or not material. If material, Regulatory Compliance will file your firm's CMA to address the same 14 standards as a new broker-dealer application, which is known to be a time-consuming process. The Continuing Membership application may include Regulatory Compliance preparing:

  • Business plan outlining the change and its impact on your business
  • Financial projections reflecting the change in your business
  • Registered Rep and branches information
  • Expense report and net capital calculations
  • Written Supervisory Procedures
  • Biographical information on new owners or supervisors, if applicable

Recognized Expertise in CMAs

Regulatory Compliance’s experienced staff has filed numerous CMA requests with successful results in every FINRA district and has a clear understanding of regulatory requirements and compliance obligations. We complete the process efficiently and accurately.

To learn more about any of our Continuing Membership Application and regulatory compliance services, call 888-Reg-Comp or 888-734-2667.