Series 24: 2.7.1.5.1. Notification Of Net Capital Shortfall

Taken from our Series 24 Online Guide

2.7.1.5.1. Notification of Net Capital Shortfall

If a firm discovers in its regular computations that its aggregate indebtedness to net capital ratio is in excess of 12:1, it must notify FINRA and the principal and regional offices of the SEC within 24 hours. This notifies the regulatory authority that the firm is gett

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