BD- Broker-Dealer New Membership Application Prep & Filing Checklist

Starting a new FINRA Member Broker-Dealer? The Broker-Dealer New Membership Application (NMA) Preparation & Filing Checklist is an important resource and time-saver for identifying, tracking, and managing the request items and supporting documents needed as part of FINRA’s broker-dealer new membership application (NMA) process.  As with many start-ups, timing and filing requirements are critical.  The customizable Checklist provides insight into the types of documents required and their filing sequence to give the user a detailed understanding of FINRA’s NMA filing requirements. Members also downloaded FINRA’s New Member Firm Common Exam Exceptions Summary.

Version/Update: V.5/November 15, 2021

Total Page Count/Format: 17/.xlsx (landscape)

Source/Author(s): Connexien