Loading Events

« All Events

Annual Firm filing and Contact Reporting for 2021

January 27, 2022

FINRA broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The executive representative must be a member of senior management and a registered principal of the firm. In addition, the executive representative is required to maintain an Internet electronic e-mail account for communication with FINRA and must update firm contact information. Firms must conduct a review and update its executive representative information through the FCS System on an annual basis within 17 business days after the end of the calendar year.

Details

Date:
January 27, 2022
Event Category:
Event Tags:
Website:
https://www.finra.org/rules-guidance/rulebooks/finra-rules/4517

Organizer

FINRA
Website:
www.finra.org
Copyright© 2021 The LeGaye Law Firm P.C.