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2/September 26
The WSP Section helps firms outline and implement effective supervisory processes regarding a firm’s DPP business
officers and employees be fingerprinted and shall submit
Source/Authors(s): Connexien
BD- Broker-Dealer New Membership Application Prep & Filing Checklist Investment Adviser as applicableStarting 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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