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What happens if a criminal, regulatory or other disciplinary matter is not disclosed on Form 8-R or Form 7-R?

April 26, 2017criminal disciplinary disclosed form happens regulatory

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What happens if a criminal, regulatory or other disciplinary matter is not disclosed on Form 8-R or Form 7-R?

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Failure to disclose disciplinary matters could be deemed an additional disqualification from registration. It is in your best interest to disclose all applicable matters. Please review NFA’s policy on failure to disclose by reading this Notice to Members: Failure to Disclose Material Information on Registration Applications.