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News Release – 10/1/14SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors
News Release – 9/30/14FINRA Solicits Comment on Proposed Rule to Implement CARDS
Video – 9/30/14Comprehensive Automated Risk Data System (CARDS)
Regulatory Notice – 9/30/14FINRA Requests Comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
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