Series 27: Notifications And Reports

Taken from our Series 27 Online Guide

Notifications and Reports

Each carrying or clearing member must submit to FINRA on an ongoing basis (or upon request) any financial and operational information FINRA deems essential to protect investors and the public interest. This applies also to institutional brokerage firms that transmit customer funds and securities on a DVP/RVP basis and do not carry margin accounts.

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Amanda Whitney, Great Nation Investment Corporation, Amarillo, TX

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