Series 24: 1.2.4.3. Change Of Ownership Or Control, Material Change In Business Operation

Taken from our Series 24 Online Guide

1.2.4.3.  Change of Ownership or Control, Material Change in Business Operation

In a Membership Agreement, a firm must agree to provide FINRA with an application for approval at least 30 days before any change in ownership or control, such as a merger with another entity (whether

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