How should the “Date Initiated” and “Resolution Date” fields be completed on the Regulatory Action DRP when reporting a FINRA Acceptance, Waiver & Consent (AWC)?
Related Questions
- 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?
- How should the "Date Initiated" field be completed on the Regulatory Action DRP when reporting a FINRA complaint?
- Does the action plan include regulatory measures for the Internet?
