Optimizing Efficiencies: An Update to FINRA’s MAP Transformation

FINRA Unscripted

English - October 03, 2023 10:30 - 16 minutes - 14.7 MB - ★★★★★ - 45 ratings
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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