Series 26: Legal Reporting Requirements

Taken from our Series 26 Online Guide

Legal Reporting Requirements

The applicant also agrees to report to FINRA within 30 business days whenever the member firm or any of its associated persons:

  • Violates or is alleged to have violated any securities laws
  • Receives a customer complaint alleging theft, misappropriation of customer assets, or forgery
  • Is named as a defendant in any legal proceeding alleging violations of securities laws
  • •&#

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