Series 27: Business Restriction

Taken from our Series 27 Online Guide

Business Restriction

A government securities broker, at FINRA’s direction, may not expand its business during any period in which any of the following conditions continue to exist for more than 15 consecutive business days:

• The member firm’s liquid capital is less than 150% of its total haircuts

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Series 27: Business Restriction

Taken from our Series 27 Online Guide

Business Restriction

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