Series 27: Restrictions On Business Expansion

Taken from our Series 27 Online Guide

Restrictions on Business Expansion

A member firm that carries customer accounts or clears transactions may not expand its business when a deficiency in its net capital that would require FINRA notification exists for more than 15 consecutive business days. Thus, a deficiency would exist if

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Series 27: Restrictions On Business Expansion

Taken from our Series 27 Online Guide

Restrictions on Business Expansion

Since you're reading about Series 27: Restrictions On Business Expansion, you might also be interested in:

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