FINRA Continuing Membership Application Checklist | Practical Law
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FINRA Continuing Membership Application Checklist
Practical Law Checklist 4-614-9286
(Approx. 10 pages)
FINRA Continuing Membership Application Checklist
by Practical Law Corporate & Securities
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USA (National/Federal)
This Checklist outlines when a broker-dealer must file a continuing membership application with FINRA, how the application is submitted, and the process of FINRA review of the application.