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Changing Your Current Broker/Dealers Business Activities or Product Mix

NASD members who wish to change their current business activities or product mix, may request to change or amend their original membership agreement by filing for a Membership Agreement Change (MAC). Depending on your specific needs, we can personally guide you through the entire process, provide you with a comprehensive do-it-yourself program, or merely provide guidance on an "as needed" basis.

As former NASD regulators, we specialize in all areas of the Membership Agreement Change, including:
  • Applying for a Application Change
  • Understanding the rules and rational
  • Gathering the required documents
  • Adhering to application timelines & deadlines
  • Membership interview
  • Decision criteria
  • Factors in determining a decision
  • We make the Membership Agreement Change process less intimidating and efficient, saving you time and money. For more information regarding our Membership Agreement Change services, please contact us at 818-386-6900.

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