Series 27: FINRA’s Capital Compliance Rule

Taken from our Series 27 Online Guide

FINRA’s Capital Compliance Rule

FINRA’s capital compliance rule is intended to guard against and prevent the failure of a member firm to maintain its net capital requirements. Among its provisions, the rule allows FINRA to raise a firm’s minimum capital requirements, suspend its business operations, and limit its ability to withdraw capital.

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Series 27: FINRA’s Capital Compliance Rule

Taken from our Series 27 Online Guide

FINRA’s Capital Compliance Rule

Since you're reading about Series 27: FINRA’s Capital Compliance Rule, you might also be interested in:

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