Series 7: 3.6.16 Rule G-16—Periodic Examination For MSRB Compliance

Taken from our Series 7 Top-off Online Guide

3.6.16 Rule G-16—Periodic Examination for MSRB Compliance

At least once every four years, each broker-dealer that is a FINRA member will be examined by FINRA to evaluate its compliance with MSRB rules, the applicable provisions of the Securities Exchange Act of 1934, and SEC rules and regulations. Recall that the MSRB is not an enforcement agency. It only makes the rules.

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