FINRA (NASD) Rule 1017 Material Change Applications

Under Rule 1017, FINRA requires that a member submit an application for approval when a change in ownership, control or business operations is anticipated. While an application for approval of a change in ownership and/or control requires a 30-day advance notice, a material change in business operations requires approval of the change prior to effecting it. This application is very comprehensive and can take considerable time and effort to complete properly.

Compliance Advisers has prepared and submitted numerous Rule 1017 Applications on behalf of firms seeking FINRA approval for changes to their businesses. Because we are experts at preparing these applications, we can fully and seamlessly manage the process allowing you to move forward expeditiously with a new business structure, idea, product or partnerships.

If you are considering a change to your firm’s ownership, control or business operations, Contact us today or Request a Customized Quote to get started today!

Compliance Advisers Inc -- Customized Compliance Solutions