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]

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