Planning a change in broker-dealer ownership, control and/or business operations? The updated Broker-Dealer Continuing Membership Application (CMA) Preparation & Filing Checklist is a valuable resource and time-saver for identifying, tracking, and managing the request items including assignment of responsibility for supporting documents needed as part of FINRA’s broker-dealer CMA process.  As with many of these changes, timing and filing requirements are critical.  The customizable Checklist includes twelve separate columns and 426 rows of information on the required documents and their filing sequence to give the user a detailed understanding of FINRA’s CMA filing requirements. 

Version/Update: V.6/March 2, 2022

Total Page Count/Format: 9/.xlsx (landscape)

Source/Author(s): Connexien