Series 28: Regulating A Member With Financial Or Operational Difficulties

Taken from our Series 28 Online Guide

Regulating a Member with Financial or Operational Difficulties

A violation of FINRA’s net capital requirements follows a more expedited procedure, when member firms contest a FINRA order to curtail their business operations.

A FINRA notice directing a member firm to restrict its business activities must state the specific grounds for FINRA’s action and the requirements or restrictions being imposed. The notice must also specify that the requirements or restrictions are immediately effective. It will further state how to comply with the restrictions, and it will inform the member that failure to com

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