SIE: Legal Reporting Requirements

Taken from our SIE Online Guide

Legal Reporting Requirements

Any member firm must promptly report to FINRA (within 30 calendar days) if the firm or any of its associated persons:

  • Violates or is alleged to have violated any securities laws
  • Receives a customer complaint alleging theft, misappropriation of customer assets, or forgery
  • Is named as a defendant in any legal proceeding alleging violations of securities laws
  • Becomes a defendant or respondent in any securitie

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