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officers and employees be fingerprinted and shall submit
Total Page Count: 11
as applicable
5/November 15
3/December 2
BD- Broker-Dealer New Membership Application Prep & Filing Checklist Investment Adviser officers and employees be fingerprintedStarting 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 FINRAs 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
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