Series 22 Exam Lesson 18 New Account Regulations: 2021
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Series 22 Exam Lesson 18 New Account Regulations: 2021
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FinCEN is a part of the U.S. Department of the Treasury and it seeks to safeguard the nation’s financial system. They send blacklist to FINRA member firms every few weeks and the principal must check these lists against their client base within 14 days and report. After the attacks on 9/11, FINRA member firms must develop a business continuity plan that provides for backup facilities that can…
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