If after a registered representative terminates the firm learns of something that should have been reported to the Central Registration Depository, how long does the firm have to make an amendment if that information would cause statutory disqualification

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14-06-2022
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If after a registered representative terminates the firm learns of something that should have been reported to the Central Registration Depository, how long does the firm have to make an amendment if that information would cause statutory disqualification

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dubeyshailja64 dubeyshailja64 · Answer 1 · 2022-06-27T10:51:43+02:00

If after a registered representative terminates, the firm learns of something that should have been reported to the Central Registration Depository, it will take 10 days to make an amendment.

What is amendment?

Amendment refers to changes or additional improvements in the current status of law. These amendments require for establishing effective rules and policies.

Statutory disqualification prevents someone from signing up to become a licenced security professional if they have been suspended, restricted, or found guilty of a crime involving securities.

This will take 10 days to make changes in the information that create statutory disqualification.

Learn more about statutory disqualification, here:

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