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date initiated

Question tag: date initiated 3 Questions

0 Votes 1 Ans

How should the “Date Initiated” field be completed on the Regulatory Action DRP when reporting a FINRA complaint?

Action complaint date initiated drp field FINRA regulatory

0 Votes 1 Ans

How should the “Date Initiated” and “Resolution Date” fields be completed on the Regulatory Action DRP when reporting a FINRA Acceptance, Waiver & Consent (AWC)?

acceptance Action date initiated drp Fields FINRA regulatory

0 Votes 1 Ans

How should the “Date Initiated” and Resolution Date” fields be completed on the Regulatory Action DRP when reporting a FINRA complaint that was resolved via an Offer of Settlement?

Action date initiated drp Fields FINRA regulatory resolution