Series 24: 1.1.1.7.2. New Member Inspection

Taken from our Series 24 Online Guide

1.1.1.7.2. New Member Inspection

FINRA must inspect each new member firm within six months of joining, to determine whether it is complying with FINRA and SEC rules. If the member firm has not yet commenced operations on the inspection date chosen by FINRA, the inspection can be delayed no longer than six months after its initially scheduled date.

SEC Rule 15b2-2

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