Try our Advanced Search for more refined results

Expert Analysis

Navigating The Rocky Shoals Of Rule 1017

Law360 ( April 28, 2010, 12:36 PM EDT) -- Effecting a "material" change in a broker-dealer's business, which, under certain circumstances, includes adding sales reps, can be an expensive, time-consuming and uncertain proposition. This is a result of the fact that in order to make such a material change, a broker-dealer must first file a Continuing Member Application ("CMA") with FINRA under Rule 1017, and have that application approved before it can proceed.[1]...

Law360 is on it, so you are, too.

A Law360 subscription puts you at the center of fast-moving legal issues, trends and developments so you can act with speed and confidence. Over 200 articles are published daily across more than 60 topics, industries, practice areas and jurisdictions.


A Law360 subscription includes features such as

  • Daily newsletters
  • Expert analysis
  • Mobile app
  • Advanced search
  • Judge information
  • Real-time alerts
  • 450K+ searchable archived articles

And more!

Experience Law360 today with a free 7-day trial.

Start Free Trial

Already a subscriber? Click here to login

Related Sections

Law Firms

Companies

Government Agencies

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!