Series 24: 2.5.1. Investigations

Taken from our Series 24 Online Guide

2.5.1. Investigations

FINRA staff has the right to require a member firm or associated person to 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 accounts. No member firm or person shall fail

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