MAP Transformation: Streamlining FINRA's Gatekeeper Function
FINRA Unscripted
English - April 19, 2022 11:00 - 19 minutes - 18.2 MB - ★★★★★ - 45 ratingsGovernment Business finra compliance regulation regulator financial services stocks bonds stock broker brokerage firm investing Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
Member Supervision's Membership Application Program Group is the gatekeeper to the broker-dealer industry. It works both to protect investors by ensuring would-be firms meet FINRA's Standards of Admission and to help new and existing firms grow and evolve, ensuring a vibrant market for all. Now, the program is undergoing a transformation.
On this episode, we hear from Cindy Foster, the new head of MAP, to hear how the group is working to develop a more streamlined process to help firms and prospective firms work through the New Membership and Continuing Membership Application processes more efficiently.
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Resources mentioned in this episode:
Information Notice: MAP Transformation
Phone: 212-858-4000, option five
Email: [email protected]