Series 28: Notification Of Non-Compliance Or Material Weakness

Taken from our Series 28 Online Guide

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Notification of Non-Compliance or Material Weakness

The independent public accountant must notify the firm’s chief financial officer if it finds that:

• The firm is not complying with the financial responsibility rules
• The firm is not complying with FINRA rules requiring the firm to send account statements to its customers
• There are material weaknesses in the firm’s supervisory controls regarding the financial responsibility rules

A material weakness is a deficiency in a firm’s supervisory controls, and

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