Series 99: 1.2.3.5.1.4 Holding Checks For Extended Periods

Taken from our Series 99 Top-off Online Guide

1.2.3.5.1.4 Holding Checks for Extended Periods

Both the SEC and FINRA have rules regarding the processing of customer funds and securities. Checks from or to customers must not be held for extended periods but must be processed promptly, preferably the same day as received or requested. A firm’s policies and proc

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