Series 26: Regulatory Notification

Taken from our Series 26 Online Guide

Regulatory Notification

Each carrying or clearing member must notify FINRA in writing within 24 hours if:

  • Its net capital falls below 150% of its minimum net capital requirement
  • Its aggregate indebtedness is mo

Since you're reading about Series 26: Regulatory Notification, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 26
Please Enable Javascript
to view this content!