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Regulatory Notice 14-39 Electronic Filing October 2014 New Template Available on FINRA Firm Gateway for Compliance With SEA Rule 17a-5(f)(2) (Statement Regarding Independent Public Accountant) Executive
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What is regulatory notice 14-39?
Regulatory notice 14-39 is a notice issued by regulatory authorities to provide guidance or requirements to certain entities.
Who is required to file regulatory notice 14-39?
Entities specified in the notice or under regulatory jurisdiction are required to file regulatory notice 14-39.
How to fill out regulatory notice 14-39?
Fill out the form according to the instructions provided in the notice and submit it to the appropriate regulatory authority.
What is the purpose of regulatory notice 14-39?
The purpose of regulatory notice 14-39 is to ensure compliance with regulatory requirements and gather specific information deemed necessary by the regulatory authorities.
What information must be reported on regulatory notice 14-39?
Information such as financial data, operational metrics, compliance status, and other relevant data may need to be reported on regulatory notice 14-39.
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