Series 24: Recordkeeping And Reporting Requirements For Carrying Agreements

Taken from our Series 24 Online Guide

Recordkeeping and Reporting Requirements for Carrying Agreements

Upon opening a new customer account, either the carrying firm or the introducing firm must notify the customer in writing of the existence of the carrying agreement. The notification must describe the responsibilities allocated to each of the firms. The firms must also promptly notify the customer in writing of any changes in the firms or in the allocation of their responsibilities. The carrying firm is responsible for the content of the notifications.

When the agreement is executed and every year thereafte

Since you're reading about Series 24: Recordkeeping And Reporting Requirements For Carrying Agreements, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 24
Please Enable Javascript
to view this content!