Continuing Membership Application

Continuing MembershipFrom a change in business, to mergers, or a change in ownership, many broker-dealers find themselves needing to file a Continuing Membership Application (“CMA”) pursuant to FINRA Rule 1017 at some point during the life of the firm.

Oyster services included in filing a CMA are:

  • Updating the Organization Chart
  • Updating the Business Plan
  • Updating Written Supervisory Procedures
  • Assembling CMA Materials
  • Submitting the CMA
  • Communications and Follow-up with FINRA

The Oyster Difference

Oyster is ready to go above and beyond simply assisting you in filing a CMA. With a CMA usually comes a host of other items to address such as combining and consolidating firm business models and structures during a merger, or hiring new personnel when changing ownership. Oyster can assist you with any strategic management needs and temporary or permanent outsourcing of key positions

FEATURED CONSULTANT

Mary Jane Phillips,Associate Director

Mary Jane has significant industry experience in operations and strategic planning, specifically process improvement, policy development and implementation, and financial data analysis and reporting.

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