Ever wondered how significant growth could impact your broker-dealer registration requirements? Join us as we unravel the complexities with industry experts Ed Wegner and Lisa Robinson. Lisa leverages her extensive experience as Senior Director of the FINRA Membership Application Program (MAP) group  to provide you with essential tips on registering your firm with FINRA and completing a Continuing Member Application. From identifying key triggers like acquisitions and substantial asset transfers to understanding the importance of resolving outstanding customer claims, this episode is packed with invaluable insights to help you make informed decisions during your firm's expansion journey.

CRC-Oyster: Compliance Risk Concepts / Oyster Consulting