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Re: TenKay post# 101813

Monday, 01/11/2016 7:04:55 PM

Monday, January 11, 2016 7:04:55 PM

Post# of 233717
I know TAs have to send this form into FINRA directly before FINRA approves an action. This form actually can be sent in on the 9th day of the 10 day processes. But when does the TA actually contact DTCC is the question, and when does DTCC charge? Is that when they actually have to process it, not when they are informed that some day in the future an action will occur when approved by FINRA?

http://www.finra.org/sites/default/files/TA%20Form%20Update%208%204%2014.pdf

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