FINRA’s Membership Application Program: Safeguarding the Integrity of the Markets

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 RulesBroker-Dealer RegistrationFINRA Standards for AdmissionEpisode 117: Reviewing and Approving Digital Asset FirmsMAP Tools and VideosMAP FAQsChecklist for Mandatory Materiality ConsultationResidential Supervisory Locations (RSL) FAQsPhone: 212-858-4000, option fiveEmail: [email protected] Find us:  LinkedIn / X / YouTube / Facebook / Instagram / E-mailSubscribe to our show on Apple Podcasts, Google Play and by RSS.