Series 28: Amending A Registration

Amending a Registration

Every application for registration must be kept current at all times. Amendments to the application must be filed with FINRA no later than 30 days after learning of the changed facts or circumstances. If the amendment involves a statutory disqualification, it must be filed no later than ten days after the disqualification occurs.

Member firms and associated persons are subject to a statutory disqualification if they:

• • Have been expelled or suspended from membership in any self-regulatory organization, domestic or foreign, or denied trading privileges anywhere
• • Have been barred or suspended from associating with a member of any self-regulatory organization
• • Have been found by their conduct while associated with a broker-dealer to be a cause of any effective suspension or expulsion of another broker or dealer
• • Have associated with any person known to have