Series 28: Terminating A Registration

Taken from our Series 28 Online Guide

Terminating a Registration

When an associated person leaves a member firm, the firm must notify FINRA of the termination and provide the associated person a copy of the notice within 30 days. A member that fails to do so will be assessed a late filing fee.

An associated person’s termination may not take effect so long as any complaint is pending against the firm with which

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