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What must take place if there are any changes in the firm's senior management? The firm's Board of Directors must be notified verbally. The new

What must take place if there are any changes in the firm's senior management?

The firm's Board of Directors must be notified verbally.

The new management must review and re

-

approve the program.

FINRA must be notified within

24

hours and re

-

application for approval must be made.

The application and approval process must begin again with the local authorities.

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