Aggregated News From Investment Management Regulators

SR-FINRA-2020-028: Proposed Rule Change to Amend Form NMA and Form CMA to Conform to Amendments to the Membership Application Program Rules as Described in SR-FINRA-2019-030


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Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend the standardized membership application forms — Form NMA (New Membership Application Form) and Form CMA (Continuing Membership Application Form) — required under Rule 1013 (New Member Application and Interview) and Rule 1017 (Application for Approval of Change in Ownership, Control, or Business Operations), respectively, to conform to amendments to the Membership Application Program (“MAP”) rules as described in File No. SR-FINRA-2019-030;  and (2) make non-substantive and technical changes to Form NMA and Form CMA.   

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Regulator Information

Abbreviation: FINRA
Jurisdiction: United States

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