In order to become a registered broker-dealer, you must be registered with FINRA. Applying for this membership is an extensive process with multiple steps. We receive many, many questions about submitting a New Member Application (NMA) with FINRA and when a firm needs to submit a Continuing Membership Application (CMA). In this episode of the Oyster Stew podcast, Oyster’s Ed Wegener and Lisa Robinson shares their thoughts on fast-track application, when a CMA is necessary, and what to think about before submitting. 

CRC-Oyster: Compliance Risk Concepts / Oyster Consulting