SIE: Legal Reporting Requirements

Taken from our SIE Online Guide

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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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