FINRA requires what is known as a 1017 filing any time a broker/dealer changes its ownership, control persons/entities or makes a material change to its business operations. The FINRA approval process can range from routine to very complicated, depending on the changes that are proposed by the broker/dealer. Please call BDCA at (770) 263-6003 to speak with an experienced consultant who can help you through the process of a 1017 filing with FINRA.
