Series 14: 4.1.9. FINRA Capital Compliance Rules

Taken from our Series 14 Online Guide

4.1.9. FINRA Capital Compliance Rules

When necessary for the protection of investors or in the public interest, FINRA may prescribe greater net capital or net worth requirements than those otherwise applicable, including more stringent treatment of items in computing net capital or net worth, or require a member firm to restore or increase its net capital or net worth.

Unless otherwise permitted by FINRA, a member shall suspend all business operations during any period in which it is not in compliance with applicable net capital requirements set forth in Secu

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