Gaining regulatory approval for a FINRA Continuation of Membership Application (know as a CMA) can be a challenging and sometimes frustrating endeavor. The rules related to these applications are complex and involve a wide range of interpretations that must be known to the applicant in order to receive expeditious approval. Business expansions, new business lines, changes in ownership or control, asset sales or purchases, addition of branch offices, and many other factors can require a FINRA CMA.
The duration of a FINRA CMA is directly impacted by the quality and completeness of the CMA filing. Engaging the services of an experienced professional – one who has been through the CMA process hundreds of times – can help ensure that you minimize the time required to gain approval of your CMA filing.
Contact Mitch Atkins FINRA CMA Expert at FirstMark Regulatory Solutions for assistance with any type of FINRA CMA.
