Series 28: Reporting Of Behavior Violations

Reporting of Behavior Violations

Members must promptly report to FINRA no later than 30 calendar days after the member knows or should have known that the firm or any of its associated persons:

• • Has violated any securities-, insurance-, financial-, or investment-related laws or regulations, whether domestic or foreign
• • Is the subject of any written customer complaint alleging forgery or the misappropriation of funds or securities
• • Is a defendant or respondent in any regulatory proceeding alleging the violation of any securities, insurance, or commodities statute or regulation
• • Is denied registration, expelled, or disciplined by any regulatory body or SRO of the securities, insurance, or commodities industries
• • Is indicted or convicted of any felony or misdemeanor involving the purchase or sale of any security, making a false report, bribery, perjury, theft, or forgery
• • Is a director, officer, or associated person of a b