Series 99: 2.3.3 Financial And Operational Reporting

Taken from our Series 99 Top-off Online Guide

2.3.3  Financial and Operational Reporting

Each carrying or clearing member must submit to FINRA on an ongoing basis (or upon request) any financial and operational information FINRA deems essential to protect investors and the public interest. This also applies to institutional brokerage firms that transmit customer funds and securities on a DVP/RVP basis and do not carry margin accounts.

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