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Optimizing Efficiencies: An Update to FINRA’s MAP Transformation

Optimizing Efficiencies: An Update to FINRA’s MAP Transformation

FromFINRA Unscripted


Optimizing Efficiencies: An Update to FINRA’s MAP Transformation

FromFINRA Unscripted

ratings:
Length:
16 minutes
Released:
Oct 3, 2023
Format:
Podcast episode

Description

FINRA oversees a diverse set of broker-dealer firms that make up a vibrant securities industry. But there's one thing all broker-dealer firms have in common. Every registered firm at one time or another must engage with FINRA's Membership Application Program, or MAP.On this episode, Jante Turner, Senior Advisor and Head of Triage for FINRA's Membership Application Program speaks about how the MAP program kicked off a significant transformation in spring 2022, and where that initiative stands today.Resources mentioned in this episode:Episode 104: Streamlining FINRA's Gatekeeper FunctionFINRA Information Notice 4/19/22 (FINRA Membership Application Program Transformation)Broker-Dealer RegistrationFINRA Standards for AdmissionForm NMAContinuing Membership Application ResourcesFINRA Member Firm HubFINRA Firm Grouping ConferenceEmail: MAP Group
Released:
Oct 3, 2023
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.