Series 53: Exemptions

Taken from our Series 53 Online Guide

Exemptions

Broker-dealers that are subject to the taping rule for the first time may request an exemption from the applicable regulatory authority by filing a written application within 30 calendar days of learning of their violation. The regulator may grant the exemption in whole or in part in exceptional circumstances.

MSRB Rule G-27(c)(2)

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