Series 99: 2.3.3.3 Net Capital Reports

Taken from our Series 99 Top-off Online Guide

2.3.3.3 Net Capital Reports

Any member using the alternative method of computing net capital must file any relevant reports required by FINRA. In particular, whenever a member firm’s tentative net capital has declined 20% or more from the amount reported in its most recent FOCUS report (or the most recent notification filed with FINRA), it must notify FINRA in writing and within no more than 48 hours.

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