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Printer-Friendly Last Updated: 4/18/08 Checklist for Organizational Change: Important Steps Related to the Merger, Acquisition, or Succession Process

If your firm is undergoing a change in organization due to a merger, acquisition, or succession, it may affect the ways in which you interact with FINRA, such as your membership application and system-related privileges. In order to make your firm's transition easier, we have compiled a checklist of steps to consider when undergoing such a change. Please note that this list focuses primarily on FINRA regulations, contacts, and systems such as: Web IR, Report Center, Web CRD^Ò, IARD^SM, Regulation Filing Applications, and FINRA Contact System.

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