New Member Process
 Application Changes
 Continued Membership


 Avoiding Complaints


 Exam Training Schools
 Proctor Center Locations
 Licensing Exam Guide
 Test Prep & Strategies


 Understand Your Rights


 Know the Rules & Regs


 Professional Associations



Brokerage firms often change ownership and/or a percentage of ownership of the firm as partners move to new opportunities and individuals bring new management skills and capital to pre-existing firms. InvestmentCare Consulting Group will guide you through the intricate reporting and filing requirements, and provide you with support and guidance through the process. We help to make the process more efficient for firms by helping them understand the following:

  • Applying for a Continued Membership Agreement (CMA)
  • Understanding the rules and rational
  • Requirements for notification of CMA
  • Adhering to application timelines & deadlines
  • Membership interview
  • Decision criteria
  • Factors in determining a decision

Continued Membership Agreements are specific to each firm and require a knowledgeable individual to navigate the various requirements, rules, and regulations that apply to such a request. As former NASD examiners, we bring a unique insight and perspective to our projects to help firms reduce the regulatory "red tape". We use our in-depth knowledge of the Membership Application Process to help you efficiently manage the application process and avoid undue costs.

 

 

 

 

 

 

 

 

 

 

 

 

 


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