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MAP Transformation: Streamlining FINRA's Gatekeeper Function

MAP Transformation: Streamlining FINRA's Gatekeeper Function

FromFINRA Unscripted


MAP Transformation: Streamlining FINRA's Gatekeeper Function

FromFINRA Unscripted

ratings:
Length:
20 minutes
Released:
Apr 19, 2022
Format:
Podcast episode

Description

Member Supervision's Membership Application Program Group is the gatekeeper to the broker-dealer industry. It works both to protect investors by ensuring would-be firms meet FINRA's Standards of Admission and to help new and existing firms grow and evolve, ensuring a vibrant market for all. Now, the program is undergoing a transformation. On this episode, we hear from Cindy Foster, the new head of MAP, to hear how the group is working to develop a more streamlined process to help firms and prospective firms work through the New Membership and Continuing Membership Application processes more efficiently. How are we doing? Take the FINRA Unscripted survey today. Resources mentioned in this episode:Broker-Dealer RegistrationFINRA Standards for AdmissionPhone: 212-858-4000, option fiveEmail: MAPintake@finra.org
Released:
Apr 19, 2022
Format:
Podcast episode

Titles in the series (100)

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.