Series 27: Investigations

Taken from our Series 27 Online Guide

Investigations

FINRA staff has the right to require that member firms and their associated persons provide information and testify under oath on any matter involving an investigation, complaint, examination, or proceeding. FINRA staff also has the right to inspect and copy on demand their books, records, and acco

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Series 27: Investigations

Taken from our Series 27 Online Guide

Investigations

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