Series 28: Deficiency Notices And Reports

Taken from our Series 28 Online Guide

Deficiency Notices and Reports

In the event that a broker-dealer is in violation of one or more financial rules, it must submit additional notifications. These can be broken into two categories: notifications it must make on the day the violation occurs and notifications it must make on the next day. Let’s look at each in turn.

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Nikita Brown, BMI. Atlanta, GA

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