Series 28: (k)(2)(i) Exemption

Taken from our Series 28 - Introducing Broker-Dealer Financial and Operations Principal Qualification Examination

Definition of the term (k)(2)(i) Exemption...

an exemption from the $250,000 FINRA and SEC net capital requirement for carrying firms that strictly handle cash accounts. To meet the terms of the exemption, a firm must promptly

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