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2015 SILK National Education Conference FINRA Testing & Continuing Education, Registration & Disclosure Roadmap and Member Relations Updates October 5, 2015, Nashville, Future Directions for Qualification Examinations
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Financial institutions and securities firms are typically required to file with FINRA.
You can fill out the form electronically on the FINRA website or manually and submit it via mail or email.
The purpose is to provide regulatory information to FINRA for oversight and compliance purposes.
Information such as financial data, client information, and compliance records must be reported.
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