FINRA oversees a diverse set of broker-dealer firms that make up a vibrant securities industry. But there's one thing all broker-dealer firms have in common. Every registered firm at one time or another must engage with FINRA's Membership Application Program, or MAP.
On this episode, Jante Turner, Senior Advisor and Head of Triage for FINRA's Membership Application Program speaks about how the MAP program kicked off a significant transformation in spring 2022, and where that initiative stands today.
Resources mentioned in this episode:
Episode 104: Streamlining FINRA's Gatekeeper Function
FINRA Information Notice 4/19/22 (FINRA Membership Application Program Transformation)
Broker-Dealer Registration
FINRA Standards for Admission
Form NMA
Continuing Membership Application Resources
FINRA Member Firm Hub
FINRA Firm Grouping Conference
Email: MAP Group
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Preparing for Change: What to Know About the Shift to T+1
A Cybersecurity Update with FINRA's Complex Investigations and Intelligence Team
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An Evolving Landscape: Generative AI and Large Language Models in the Financial Industry
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Compliance and Communication: An Update on FINRA’s Crypto Asset Targeted Exam
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An Introduction to FINRA’s Crypto Asset Work and the Crypto Hub
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