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Do all business expansions require approval by FINRA?

April 26, 2017Approval Business Expansions FINRA require

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Do all business expansions require approval by FINRA?

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A3. No, only those changes specified by NASD Rule 1017 require approval. These changes include things like your firm’s merger with another firm, your firm being acquired by another firm, a change in your firm’s ownership or control or a material change in your firm’s business operations.