2.1.5.1. Verification of Assets Held by Third Parties
A member firm sometimes will keep its assets and ownership records at a financial institution that is not a member of FINRA. FINRA cannot compel non-members to comply with its requ
A member firm sometimes will keep its assets and ownership records at a financial institution that is not a member of FINRA. FINRA cannot compel non-members to comply with its requ