Series 99: 1.2.4.3 Additional Broker-Dealer Disclosures

Taken from our Series 99 Top-off Online Guide

1.2.4.3  Additional Broker-Dealer Disclosures

FINRA requires additional disclosures of its members. These disclosures are summarized below.

  • Firms must disclose their financial condition (from their most recent balance sheet) to their customers when requested. Firms must also disclose their financial conditions to other members with which they engage in transactions, if requested.
  • Firms must provide the following information about FINRA annually to their customers in writing:
  • » FINRA BrokerCheck Hotline number
  • » FINRA website address
  • » A statement describing the availability of an investor brochure that includes information on FINRA BrokerCheck

Summary

Additional B

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