How should the “Date Initiated” field be completed on the Regulatory Action DRP when reporting a FINRA complaint?
When reporting a FINRA complaint, regardless of whether or not the complaint was preceded by a formal FINRA investigation, the “Date Initiated” field on the Regulatory Action DRP should reflect the date the formal action or complaint was issued; it should not reflect the “notice date” of the FINRA investigation in cases where the formal complaint was preceded by an investigation.
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