Series 27: Notification Of Failure To Make A Required Deposit

Taken from our Series 27 Online Guide

Notification of Failure to Make a Required Deposit

If a broker-dealer fails to make a required deposit in its customer reserve bank account, PAB reserve bank account, or special account, it must immediately notify the SEC and its designated examining authority by telegram and promptly confirm the notification in writing.

SEC Rule 15c3-3(i)

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Series 27: Notification Of Failure To Make A Required Deposit

Taken from our Series 27 Online Guide

Notification of Failure to Make a Required Deposit

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