BD- Broker-Dealer New Membership Application Prep & Filing Checklist Investment Adviser officers and employees be fingerprinted

officers and employees be fingerprinted and shall submit

as applicable

2/September 26

The List includes sections for recording information for each restricted security to include the appropriate code/reason for restriction type and a signed acknowledgement section

BD- Broker-Dealer New Membership Application Prep & Filing Checklist Investment Adviser officers and employees be fingerprintedStarting a new FINRA Member Broker Dealer? The Broker Dealer New Membership Application (NMA) Preparation & Filing Checklist is an important resource and time saver for identifying, tracking, and managing the request items and supporting documents needed as part of FINRAs broker dealer new membership application (NMA) process. As with many start ups, timing and filing requirements are critical. The customizable Checklist provides insight into the