Get the free SIPC DISCLOSURE (FINRA Rule 2266) - R. Seelaus
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DISCLOSURE NOTICE June 2020Dear Valued Client: R. Menelaus & Co., LLC (RICO) is a U.S. registered Securities and Exchange Commission (SEC) broker dealer, member of the Financial Industry Regulatory
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How to fill out sipc disclosure finra rule
How to fill out sipc disclosure finra rule
01
Obtain the SIPC Disclosure Form from FINRA.
02
Fill in all required information accurately, including your name, address, phone number, and other personal details.
03
Provide information about your firm, including its name, address, and contact information.
04
Disclose any prior disciplinary actions or criminal convictions.
05
Sign and date the form to certify its accuracy.
Who needs sipc disclosure finra rule?
01
Any individual or firm that is a member of SIPC and registered with FINRA needs to fill out the SIPC Disclosure FINRA Rule.
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What is sipc disclosure finra rule?
The SIPC disclosure FINRA rule requires certain brokerage firms to disclose to customers that their accounts are protected by the Securities Investor Protection Corporation (SIPC) in the event that the brokerage firm fails.
Who is required to file sipc disclosure finra rule?
Brokerage firms that are members of FINRA and are subject to SIPC protection are required to file the SIPC disclosure FINRA rule.
How to fill out sipc disclosure finra rule?
The SIPC disclosure FINRA rule can be filled out by providing the required information regarding SIPC protection in customer account statements or other appropriate communication channels.
What is the purpose of sipc disclosure finra rule?
The purpose of the SIPC disclosure FINRA rule is to ensure that customers are informed about the protection of their accounts by SIPC in case of brokerage firm failure.
What information must be reported on sipc disclosure finra rule?
The SIPC disclosure FINRA rule requires reporting on the availability of SIPC protection, contact information for SIPC, and limitations on SIPC coverage.
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