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Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://podcastplayer.com/legal.
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FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets

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Manage episode 432819515 series 2309258
Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://podcastplayer.com/legal.

FINRA’s Membership Application Program (MAP) team serves as the first point of contact for firms looking to enter the broker-dealer industry. It works both to protect investors by ensuring would-be member firms meet FINRA standards of admission, and to help new and existing firms grow and evolve, ensuring a vibrant market for all.

On this episode, Cindy Foster, Vice President of MAP, joins us to share more about FINRA standards of admission and how the group works to ensure a smooth process for both current and prospective member firms.

Resources mentioned in this episode:

Member Application Rules

Broker-Dealer Registration

FINRA Standards for Admission

Episode 117: Reviewing and Approving Digital Asset Firms

MAP Tools and Videos

MAP FAQs

Checklist for Mandatory Materiality Consultation

Residential Supervisory Locations (RSL) FAQs

Phone: 212-858-4000, option five

Email: [email protected]

Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail
Subscribe to our show on Apple Podcasts, Google Play and by RSS.

  continue reading

63 episodes

Artwork
iconShare
 
Manage episode 432819515 series 2309258
Content provided by FINRA. All podcast content including episodes, graphics, and podcast descriptions are uploaded and provided directly by FINRA or their podcast platform partner. If you believe someone is using your copyrighted work without your permission, you can follow the process outlined here https://podcastplayer.com/legal.

FINRA’s Membership Application Program (MAP) team serves as the first point of contact for firms looking to enter the broker-dealer industry. It works both to protect investors by ensuring would-be member firms meet FINRA standards of admission, and to help new and existing firms grow and evolve, ensuring a vibrant market for all.

On this episode, Cindy Foster, Vice President of MAP, joins us to share more about FINRA standards of admission and how the group works to ensure a smooth process for both current and prospective member firms.

Resources mentioned in this episode:

Member Application Rules

Broker-Dealer Registration

FINRA Standards for Admission

Episode 117: Reviewing and Approving Digital Asset Firms

MAP Tools and Videos

MAP FAQs

Checklist for Mandatory Materiality Consultation

Residential Supervisory Locations (RSL) FAQs

Phone: 212-858-4000, option five

Email: [email protected]

Find us: LinkedIn / X / YouTube / Facebook / Instagram / E-mail
Subscribe to our show on Apple Podcasts, Google Play and by RSS.

  continue reading

63 episodes

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