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Latest Notices, Guidance and Alerts

Request for Comment
FINRA Requests Comment on a Proposal to Require Members to Provide Rule 605 Order Execution Quality Reports to FINRA for Centralized Publication
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Guidance
Request for Comment
FINRA Requests Comment on FINRA Rules Impacting Capital Formation

2023 Report on FINRA’s Examination and Risk Monitoring Program

Insight into findings from recent oversight activities of FINRA’s Member Supervision, Market Regulation and Enforcement programs.

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