Series 14: 4.1.8.3. Filing Requirements

Taken from our Series 14 Online Guide

4.1.8.3. Filing Requirements

The Securities Exchange Act requires firms to file two copies of any subordinated loan agreement with the SEC at least 10 days before the date of the loan.

FINRA requires firms to file regular subordination agreements at least 30 days prior to the date of the loan, but allows temporary agreements to be filed only 10 days prior to the effective date.

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