Series 22 Exam Lesson 18 New Account Regulations: 2021
Jul 22 2021
Length: 10 mins
Podcast

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Series 22 Exam Lesson 18 New Account Regulations: 2021

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Summary
Lesson 18 New Account Regulations: FinCEN is a part of the U.S. Department of the Treasury and it seeks to safeguard the nation’s financial system. They send blacklist to FINRA member firms every few weeks and the principal must check these lists against their client base within 14 days and report. After the attacks on ... Read more

The post Series 22 Exam Lesson 18 New Account Regulations: 2021 appeared first on FINRA Series 22 Exam lessons.

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