When a RR leaves the firm, the firm is required to notify FINRA by?

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asked Sep 25, 2024 52.2k views

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Aaron Zhong · Answer 1 · 2024-10-01T07:04:20+0000

Final answer:

The firm is required to notify FINRA within 30 days when a RR leaves the firm.

Step-by-step explanation:

When a Registered Representative (RR) leaves a firm, the firm is required to notify the Financial Industry Regulatory Authority (FINRA) within 30 days.

When a RR leaves the firm, the firm is required to notify FINRA by?

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