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FINRA Utility Menu

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FINRA Data provides non-commercial use of data, specifically the ability to save data views and create and manage a Bond Watchlist.

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Registered representatives can fulfill Continuing Education requirements, view their industry CRD record and perform other compliance tasks.

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  1. Rules & Guidance
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Adjudication and Decisions

Date of Decision Proceeding No. Title Type Order No.
August 03, 2016 2011025851501 APPEALED: KCD Financial, Inc. Disciplinary Decision
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