Series 28: Contract Execution

Taken from our Series 28 Online Guide

Contract Execution

Carrying agreements cannot go into effect until the carrying firm submits the agreement to FINRA and secures its approval. As early as possible, but not later than 10 business days before carrying any accounts of new introducing firms, the carrying firm must submit a notice to FINRA identifying each introducing firm by name and its CRD number.

When an introducing firm offers the clearing services of its carrying firm to another intr

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Nikita Brown, BMI. Atlanta, GA

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