Expert insights and guidance on FINRA Membership Applications from a former FINRA executive.
More studying? Are you kidding? Often this is the question that FirstMark Regulatory Solutions gets when discussing the FINRA general securities principal registration requirements with clients who have already taken the Series 7 and 63 exams. The question of who is required to have a FINRA general securities principal registration can get complicated. In a …
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Prospective consulting clients often ask the question, “How quickly can I get my FINRA New Member Application approved?” And unfortunately, the answer always seems to be the same, “Well that depends.” And it really does depend. Factors that Slow the FINRA New Member Application Process A FINRA New Member Application, or NMA, is subject to …
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