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

Membership Application Process (MAP)
The NASD Membership Application Process is the complicated task of starting a new NASD broker/dealer or the change of ownership of an existing broker/dealer. As former NASD regulators, we specialize in all areas of the New Membership Application Process including:

  • Applying for a new member application or change of ownership
  • Understanding the membership rules and regulations
  • Gathering the required documents
  • Adhering to application timelines & deadlines
  • Membership interview
  • Decision criteria
  • Factors in determining a decision
Our seasoned staff will explain the complex procedures and rational from an insider's perspective, and help you streamline the process and minimize wasted time and resources.














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