If a member firm recently becomes aware of a potential violation of the securities laws by the firm or an associated person and is gathering the available facts to determine whether it, or the associated person, violated such laws and whether the violation meets the reporting threshold of FINRA Rule 4530.01 is the firm required to report the matter within 30 calendar days after it first became aware of the potential violation?
答:
No. As noted in Answer 1.1, FINRA Rule 4530(b) states that each member firm shall promptly report to FINRA, but in any event not later...
广告Yieldstreet investments offer the potential for higher returns than traditional products. Invest in asset classes traditionally dominated by hedge funds and the ultra-wealthy.
Valuable Diversification · Early Liquidity Options · Proven Track Record · Accessible Minimums
English
保存
分享
更多
