Series 14: 7.2.1.7. Mandatory Inspection Of A New Broker-Dealer

Taken from our Series 14 Online Guide

7.2.1.7. Mandatory Inspection of a New Broker-Dealer

The SEC mandates that within six months of the date that a new firm registers, FINRA or a different SRO must conduct an inspection of the firm to determine whether it is complying with conduct rules. This inspection can be delayed for no longer than six months after its initially scheduled date.

SEC Rule 15b2-2

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