Series 28: Exercise

Taken from our Series 28 Online Guide

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Exercise

Answer the following questions

1. Which type of broker-dealers must file compliance reports: carrying broker-dealers or introducing broker-dealers?
2. Compliance reports describe a firm’s compliance to what?
3. When must a firm’s independent public accountant file her audit of the firm’s compliance or exemption report?

Answers

1. Carrying broker-dealers. Incidentally, here’s a useful mn

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