Series 28: Transmittal Of Notices And Reports

Taken from our Series 28 Online Guide

Transmittal of Notices and Reports

Every required notice or follow-up report must be sent to three places: the SEC’s principal office in Washington, DC; the regional SEC office, where the broker-dealer has its principal place of business; and FINRA. The notices or reports can be transmitted by email, text, or fax.

SEC Rule 17a-11(g)

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