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Regulatory Notice 1528 Continuing Education August 2015 SEC Approves Amendments Relating to Web based Delivery of the Regulatory Element Notice Type Effective Date: October 1, 2015, Executive Summary
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How to fill out FINRA Regulatory Notice 15-28:
01
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Who needs FINRA Regulatory Notice 15-28:
01
Financial professionals and broker-dealers regulated by FINRA may need to comply with Regulatory Notice 15-28. This includes registered representatives, broker-dealer firms, and associated persons involved in securities transactions.
02
Entities and individuals who qualify as "municipal advisors" under the Securities Exchange Act of 1934 may also be subject to the requirements of Regulatory Notice 15-28.
03
Compliance officers and other personnel responsible for ensuring regulatory compliance within financial firms should be aware of and understand the details of this notice.
It is important to note that this answer provides general guidance and should not replace the detailed instructions or legal advice provided by FINRA or professional counsel.
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What is finra regulatory notice 15-28?
FINRA Regulatory Notice 15-28 is a notice issued by the Financial Industry Regulatory Authority that provides guidance on certain reporting requirements.
Who is required to file finra regulatory notice 15-28?
Firms that are registered with FINRA and meet the criteria outlined in the notice are required to file FINRA Regulatory Notice 15-28.
How to fill out finra regulatory notice 15-28?
Firms can fill out FINRA Regulatory Notice 15-28 by following the instructions provided in the notice and submitting the required information through the designated FINRA portal.
What is the purpose of finra regulatory notice 15-28?
The purpose of FINRA Regulatory Notice 15-28 is to ensure that firms are compliant with reporting requirements and to provide transparency to investors and regulators.
What information must be reported on finra regulatory notice 15-28?
Information such as client complaints, regulatory actions, and other relevant disclosures must be reported on FINRA Regulatory Notice 15-28.
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