Series 28: Legal Reporting Requirements

Taken from our Series 28 Online Guide

Legal Reporting Requirements

Member firms must agree to report to FINRA and update the U4 promptly (which means within 10 calendar days) whenever the member firm or any of its associated persons:

• Violates or is alleged to have violated any securities laws
• Receives a customer complaint alleging theft, misappropriation of customer assets, or forgery
• Is a defendant in any legal proceeding alleging violations

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