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ARTICLE · 21 MARCH 2012

Financial Services Alert – March 20, 2012

Goodwin Procter LLP
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FINRA filed with the SEC proposed amendments to NASD Rule 1012 and NASD Rule 1017 (the "Amendments") to adopt new standardized electronic Form CMA ("Form CMA").

United StatesFinance and Banking
Robert Kurucza
Robert Kurucza
  • FINRA Files Proposed Amendments Relating to Adoption of New Standardized Electronic Continuing Membership Application Form
  • SEC Staff Provides Guidance to Exempt Reporting Advisers on Reporting Special Purpose Entities in Form ADV
  • FinCEN Issues Guidance Clarifying when Currency Transactions of Businesses with Common Ownership Should Be Aggregated for the Purposes of Currency Transaction Reports
  • Clearing House Association Releases Draft Principles for Enhancing Banking Organization Corporate Governance

DEVELOPMENTS OF NOTE

FINRA Files Proposed Amendments Relating to Adoption of New Standardized Electronic Continuing Membership Application Form

FINRA filed with the SEC proposed amendments to NASD Rule 1012 and NASD Rule 1017 (the "Amendments") to adopt new standardized electronic Form CMA ("Form CMA"). Rule 1017 provides parameters for certain changes in a member's ownership, control, or business operations that would require a continuing membership

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