Series 24: 1.1.1.7.4. Changes In Ownership Or Control

Taken from our Series 24 Online Guide

1.1.1.7.4. Changes in Ownership or Control

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 with another member firm or not), an acqu

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