Expand All 101. Electronic Filing Requirements for Uniform Forms 102. Filing of Misleading Information as to Membership or Registration 111. Membership Proceedings 112. New Member Application and Interview 113. Department Decision 114. Review by National Adjudicatory Council 115. Discretionary Review by FINRA Board 116. Application for Approval of Change in Ownership, Control, or Business Operations 118. Application to Commission for Review 119. Foreign Members 121. Registration Requirements 122. Registration Categories 123. Associated Persons Exempt from Registration 124. Continuing Education Requirements Book traversal links for 100. MEMBER APPLICATION AND ASSOCIATED PERSON REGISTRATION ‹ 016. Definitions Up 101. Electronic Filing Requirements for Uniform Forms ›
