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Industry Professionals > Regulation > Notices > Subject Index  

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Underwriting

Activity Report; 03-46; 97-80; 97-10

Commitment; 04-20
Compensation; 03-72; 02-55; 01-59; 00-12; 98-88
Corporate Debt Securities; 03-45
Qualified Independent Underwriter; 97-68

Underwriting Compensation 06-52
Unexpected Close of Securities Markets 05-47
Uniform Branch Office Definition (See Branch Office)

Uniform Practice Code (NASD Rule 11000 Series)

08-34

Rule 11870; 01-66; 99-81
Rule 11890; 00-10; 99-29; 98-21

Uniform Submission Agreements (USAs) 04-11
Unit Investment Trusts (UITs) Sales 04-26
Use of FINRA Name and FINRA-Owned Corporate Names 07-47
Last Updated: 9/15/08
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