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What should a firm do if it is actively working the issue but having trouble obtaining the requested information in a timely manner?

April 26, 2017firm ISSUE requested timely working

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What should a firm do if it is actively working the issue but having trouble obtaining the requested information in a timely manner?

1 Answer

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If a firm believes that exceptional circumstances exist that make it unable to resolve an Inquiry Letter in a timely manner, it may contact FINRA’s Gateway Call Center at (301) 869-6699.