JD Supra

FINRA Amends Electronic Form NMA, Adopts New Electronic Form CMA and Imposes Steep Fees for CMAs

[authors: Robert S. Frenchman, Julian Rainero, and David S. Sieradzki. The Financial Industry Regulatory Authority (FINRA) has adopted amendments to its new member application (Form NMA) and has also ...
Nasdaq

Derivatives Membership

On its own behalf On behalf of customers excluding non-clearing members (NCM) subject to meeting specified membership requirements, including holding any necessary licenses For more information on the ...
JD Supra

FINRA Adds Continuing Membership Application Requirement to Address Brokers With a History of Misconduct

FINRA recently amended its rules in order to strengthen its tools to respond to brokers with a significant history of misconduct and the firms that employ them. The amended rules include FINRA’s ...
IEEE

Become an IEEE Senior Member

Prospective members who would like to apply directly for Senior Member grade must first join IEEE and then submit the Senior Member application form. An IEEE Member Number is required on the Senior ...