Registering a Broker-Dealer: The NMA and CMA Process Explained
Автор: Oyster Consulting
Загружено: 2023-08-10
Просмотров: 78
Описание: We receive many, many questions about submitting a New Member Application (NMA) with FINRA and when a firm needs to submit a Continuing Membership Application (CMA). In order to become a registered broker-dealer, you must be registered with FINRA. Applying for this membership is an extensive process with multiple steps. In this episode of the Oyster Stew podcast, Oyster’s Ed Wegener and Lisa Robinson shares their thoughts on fast-track application, when a CMA is necessary, and what to think about before submitting.
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